Definitions tagged as

Laws & Regulation

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  1. Securities Investor Protection Corporation - SIPC

  2. SEC Yield

  3. Self-Regulatory Organization - SRO

  4. Senate Bill

  5. Senior Registered Options Principal - SROP

  6. Sharia

  7. Shelf Offering

  8. Shelf Registration

  9. Short-Sale Rule

  10. Short-Swing Profit Rule

  11. Sick Industrial Companies Act (SICA)

  12. Slow Loan

  13. Smart Money

  14. Social Host Liability

  15. Special Economic Zone - SEZ

  16. Sponsor

  17. Stability And Growth Pact - SGP

  18. Staggers Act

  19. State Administrator

  20. Statutory Debt Limit

  21. Step-Out Trading

  22. Stop Trading On Congressional Knowledge Act - STOCK Act

  23. Sub-Pennying

  24. Sukuk

  25. Sunshine Laws

  26. Suspended Trading

  27. Swap Dealer

  28. System for Electronic Document Analysis and Retrieval - SEDAR

  29. Tape Reading

  30. Taping Rule

  31. Telecommunications Consumer Protection Act of 1991 - TCPA

  32. The Coinage Act Of 1792

  33. The Jones Act

  34. Threshold List

  35. Tier 1 Leverage Ratio

  36. Tip From A Dip

  37. Tipping

  38. Trade Reporting And Compliance Engine - TRACE

  39. Trading Ahead

  40. Trading Authorization

  41. Triggering Event

  42. Trust Indenture Act of 1939

  43. Trust Receipt

  44. TSA Pre

  45. Two-Sided Market

  46. Ultra Vires Acts

  47. Unauthorized Investment

  48. Unfair Claims Practice

  49. Uniform Business Rate

  50. Uniform Commercial Code

  51. Uniform Prudent Investor Act - UPIA

  52. Uniform Securities Act

  53. Uniform Simultaneous Death Act

  54. United States V. The South-Eastern Underwriter Association

  55. Universal Market Integrity Rules - UMIR

  56. Unlisted Trading Privileges - UTP

  57. Unsubordinated Debt

  58. Uptick Rule

  59. USA Patriot Act

  60. Usury Laws

  61. Utility Patent

  62. Waiting Period

  63. Wash

  64. Wash-Sale Rule

  65. Wash Trading

  66. Welfare Capitalism

  67. Well's Notice

  68. Whisper Number

  69. Whistleblower

  70. White-Collar Crime

  71. Wildcatting

  72. Williams Act

  73. Zero Minus Tick

  74. Zero Plus Tick

  75. Zombie Titles

  76. Zoning

  77. Zoning Ordinance

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