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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
  • United States Federal Reserve building, Washington DC, USA

    Truth in Lending Act (TILA) Definition
  • Hands holding Fiduciary duty in an court.

    What Are Some Examples of Fiduciary Duty?

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  • Cost and Freight – CFR Definition

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    Free On Board (FOB) 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

  • Securities Act of 1933 Definition

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  • Understanding International Monetary Fund (IMF) vs. the World Bank

  • Attorney-in-Fact Definition

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  • Please Sign Here

    Bundle of Rights Definition
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    Concession Agreement Definition

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  • Credit

    Regulation B Definition
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    Regulation E Definition

  • Statute of Frauds

  • How to Open a Brokerage Account for a Child

  • CUSIP Number Definition
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    Markets in Financial Instruments Directive (MiFID) Definition

  • Regulation A Definition
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    Credit Support Annex (CSA) Definition
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    Letter of Indemnity Definition

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    Qualified Institutional Buyer (QIB) Definition
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    Rule 10b5-1 Definition

  • Shadow Banking System Definition

  • Dodd-Frank Wall Street Reform and Consumer Protection Act

  • Paul Volcker

    The Volcker Rule
  • Low angle view of a government building, Federal Reserve Building, Washington DC, USA

    The Definition of the Lending Program (AMLF)
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    Banking And Securities Industry Committee (BASIC)

  • Section 16 Definition

  • Short-Sale Rule Definition
  • A copy of the FLSA on paper

    Fair Labor Standards Act Defined
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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?
  • Wall St.

    SEC Form 10-Q Defintion

  • Emergency Banking Act of 1933
  • Businessman Lobbying for His Cause

    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

  • Financial CHOICE Act
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