Laws & Regulations
Global financial markets are governed by rules and regulations intended to protect the investor and the consumer.
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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.
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Fiduciary Duty Examples -
Bail Bond Definition -
Cost and Freight (CFR) Definition -
Common Law Definition -
Free On Board (FOB) Definition -
The Jones Act Definition -
Non-Compete Agreement Definition -
Property Rights Definition -
Stare Decisis Definition -
Unilateral Contract Definition -
MiFID II Definition -
Exchange Control -
Regulation T (Reg T) Definition -
Schedule 13D Definition -
Securities Act of 1933 Definition -
Settlement Period Definition -
Understanding the International Monetary Fund (IMF) vs. the World Bank -
Attorney-In-Fact Definition -
Block Trade Definition
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Blue Sky Laws Definition -
Bundle of Rights Definition -
Concession Agreement Definition -
Delivered-at-Place (DAP) Definition -
Implied Contract Definition -
Regulation Z Definition -
Regulation B (Reg B) Definition -
Regulation E Definition -
Statute of Frauds Definition -
How to Open a Brokerage Account for a Child -
CUSIP Number Definition -
Markets in Financial Instruments Directive (MiFID) Definition -
Regulation A Definition -
Credit Support Annex (CSA) Definition -
Letter of Indemnity Definition -
Licensing Agreement Definition
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Qualified Institutional Buyer (QIB) Definition -
Rule 10b5-1 Definition -
Shadow Banking System Definition -
Dodd-Frank Wall Street Reform and Consumer Protection Act Definition -
The Volcker Rule Definition -
The Definition of the Lending Program (AMLF) -
Banking And Securities Industry Committee (BASIC) Definition -
Section 16 Definition
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Short-Sale Rule Definition -
Fair Labor Standards Act (FLSA) Definition -
NAFTA's Winners and Losers -
Government Regulations: Do They Help Businesses? -
Promissory Estoppel Definition -
What Happens to Shareholders Equity Under Chapter 11 Bankruptcy? -
Basel III Definition -
What Rights Do All Common Shareholders Have?
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SEC Form 10-Q Definition
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Emergency Banking Act of 1933 Definition -
Which Industry Spends the Most on Lobbying? -
Government Regulation and the Financial Services Sector -
Soft Dollars Definition -
Copyright Definition -
Zoning Ordinance Definition
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Sherman Antitrust Act Definition -
Financial CHOICE Act Definition
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