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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What Are Some Examples of Fiduciary Duty?
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Bail Bond Definition
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Cost and Freight – CFR Definition
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Common Law Definition
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Free On Board – FOB Definition
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The Jones Act Definition
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Non-Compete Agreement Definition
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Property Rights Definition
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Stare Decisis Definition
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Unilateral Contract 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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Securities Act of 1933 Definition
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Settlement Period Definition
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Understanding International Monetary Fund (IMF) vs. the World Bank
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Attorney-in-Fact Definition
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Block Trade 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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Delivered-at-Place (DAP) Definition
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Implied Contract Definition
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Regulation Z Definition
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Regulation B Definition
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Regulation E Definition
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Statute of Frauds
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How to Open a Brokerage Account for a Child
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CUSIP Number Definition
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Markets in Financial Instruments Directive (MiFID) Definition
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Regulation A Definition
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Credit Support Annex (CSA) Definition
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Letter of Indemnity
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Licensing Agreement Definition
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Qualified Institutional Buyer (QIB) Definition
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Rule 10b5-1
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Shadow Banking System Definition
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Dodd-Frank Wall Street Reform and Consumer Protection Act
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Volcker Rule
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The Definition of the Lending Program (AMLF)
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Cap and Trade Definition
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Banking And Securities Industry Committee (BASIC)
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Section 16 Definition
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Short-Sale Rule Definition
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Fair Labor Standards Act (FLSA)
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NAFTA's Winners and Losers
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Government Regulations: Do They Help Businesses?
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Promissory Estoppel
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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 Defintion
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Emergency Banking Act of 1933
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Which Industry Spends the Most on Lobbying?
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Government Regulation and the Financial Services Sector
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Soft Dollars
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Copyright Definition
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Zoning Ordinance Definition
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Sherman Antitrust Act
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