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Investing Laws & Regulations

Laws & Regulations

Global financial markets are governed by rules and regulations intended to protect the investor and the consumer.

Laws & Regulations
  • Crime & Fraud
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student studying for exam
Series 63 Definition
The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state.
  • Bilateral Contract Definition
  • Deregulation Definition
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    Truth in Lending Act (TILA) Definition
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    Fiduciary Duty Examples
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    Bail Bond Definition
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    Common Law Definition: History, Uses, & Example
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    Free On Board (FOB) Definition
  • The Jones Act Definition
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    Non-Compete Agreement Definition
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  • MiFID II Definition
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    Exchange Control
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    Regulation T (Reg T) Definition
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    Schedule 13D Definition
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    International Monetary Fund (IMF) vs. the World Bank: What's the Difference?
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    Attorney-In-Fact Definition
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    Blue Sky Laws Definition
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    Bundle of Rights Definition
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    Concession Agreement Definition
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  • Credit
    Regulation B (Reg B) Definition
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    Regulation E Definition
  • Statute of Frauds Definition
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    CUSIP Number Definition
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    Markets in Financial Instruments Directive (MiFID) Definition
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    Credit Support Annex (CSA) Definition
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    Letter of Indemnity (LOI) Definition
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    Qualified Institutional Buyer (QIB) Definition
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    Rule 10b5-1 Definition
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    The Volcker Rule Definition
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    Asset-Backed Commercial Paper Money Market Fund (AMLF) Definition
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    Banking And Securities Industry Committee (BASIC) Definition
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  • Short-Sale Rule Definition
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    Fair Labor Standards Act (FLSA) Definition
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    NAFTA's Winners and Losers
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    Government Regulations: Do They Help Businesses?
  • Estoppel
    Promissory Estoppel Definition
  • Calculate How Much Cost or Spending Have With Credit Cards
    What Happens to Shareholders Equity Under Chapter 11 Bankruptcy?
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    Basel III Definition
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    What Rights Do All Common Shareholders Have?
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    SEC Form 10-Q Definition
  • Putting Numbers Into Perspective
    Emergency Banking Act of 1933 Definition
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    Which Industry Spends the Most on Lobbying?
  • Government Regulation and the Financial Services Sector
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    Copyright Definition
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    Sherman Antitrust Act Definition
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