Definitions tagged as

Laws & Regulation

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  1. Section 12D-1 Limit

  2. Section 16

  3. Securities Act Of 1933

  4. Securities And Exchange Board Of India - SEBI

  5. Securities And Exchange Commission - SEC

  6. Securities Exchange Act Of 1934

  7. Securities Fraud

  8. Securities Industry Regulatory Authority - SIRA

  9. Securities Investor Protection Corporation - SIPC

  10. SEC Yield

  11. Self-Regulatory Organization - SRO

  12. Senate Bill

  13. Senior Registered Options Principal - SROP

  14. Sharia

  15. Shelf Offering

  16. Shelf Registration

  17. Short-Sale Rule

  18. Short-Swing Profit Rule

  19. Sick Industrial Companies Act (SICA)

  20. Slow Loan

  21. Smart Money

  22. Social Host Liability

  23. Special Economic Zone - SEZ

  24. Sponsor

  25. Stability And Growth Pact - SGP

  26. Staggers Act

  27. State Administrator

  28. Statutory Debt Limit

  29. Step-Out Trading

  30. Stop Trading On Congressional Knowledge Act - STOCK Act

  31. Sub-Pennying

  32. Sukuk

  33. Sunshine Laws

  34. Suspended Trading

  35. Swap Dealer

  36. System for Electronic Document Analysis and Retrieval - SEDAR

  37. Tape Reading

  38. Taping Rule

  39. Telecommunications Consumer Protection Act of 1991 - TCPA

  40. The Coinage Act Of 1792

  41. The Jones Act

  42. Threshold List

  43. Tier 1 Leverage Ratio

  44. Tip From A Dip

  45. Tipping

  46. Trade Reporting And Compliance Engine - TRACE

  47. Trading Ahead

  48. Trading Authorization

  49. Triggering Event

  50. Trust Indenture Act of 1939

  51. Trust Receipt

  52. TSA PreCheck

  53. Two-Sided Market

  54. Ultra Vires Acts

  55. Unauthorized Investment

  56. Unfair Claims Practice

  57. Uniform Business Rate

  58. Uniform Commercial Code

  59. Uniform Prudent Investor Act - UPIA

  60. Uniform Securities Act

  61. Uniform Simultaneous Death Act

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

  63. Universal Market Integrity Rules - UMIR

  64. Unlisted Trading Privileges - UTP

  65. Unsubordinated Debt

  66. Uptick Rule

  67. USA Patriot Act

  68. Usury Laws

  69. Utility Patent

  70. Waiting Period

  71. Wash

  72. Wash-Sale Rule

  73. Wash Trading

  74. Welfare Capitalism

  75. Well's Notice

  76. Whisper Number

  77. Whistleblower

  78. White-Collar Crime

  79. Wildcatting

  80. Williams Act

  81. Zero Minus Tick

  82. Zero Plus Tick

  83. Zombie Title

  84. Zoning

  85. Zoning Ordinance

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