Search

Browse by Subject

Rules and Regulations

abusive tax shelter
Accounting Principles Board (APB)
aggressive accounting
American Municipal Bond Assurance Corporation (AMBAC)
antitrust laws
arbitration
arbitrator
attestation
Banking Act Of 1933
bear raid
blanket fidelity bond
blue sky law
Central Registration Depository (CRD)
CEO/CFO certification
Certified Public Accountant (CPA)
channel stuffing
Chinese wall
churning
class action suit
Clayton Act
Committee on Uniform Security Identification Procedures (CUSIP) Service Bureau
Commodity Futures Trading Commission (CFTC)
competition law
Corporate and Criminal Fraud Accountability Act
corporate filing
Council of Economic Advisers (CEA)
Electronic Data Gathering Analysis and Retrieval (EDGAR)
embargo
entity
European Banking Federation (FBE)
Fair Disclosure Regulation
Federal Housing Administration (FHA)
federal thrift regulator
Federal Trade Commission (FTC)
Federal Trade Commission Act of 1914
Financial Accounting Standards Board (FASB)
Financial and Operational Combined Uniform Single Report (FOCUS Report)
Financial Institutions Reform, Recovery, and Enforcement Act of 1989 (FIRREA)
Foreign Corrupt Practices Act (FCPA)
General Securities Registered Representative Examination
Glass-Steagall Act
Gramm-Leach-Bliley Act
insider trade
Insider Trading and Securities Fraud Enforcement Act of 1988
Insider Trading Sanctions Act of 1984
Internal Revenue Service (IRS)
International Accounting Standards Board (IASB)
International Federation of Stock Exchanges (FIBV)
International Organization for Standards (ISO)
Investment Company Act of 1940
Investment Company Amendments Act of 1970
late day trading
legal list
Maloney Act
material insider information
mediation
monopoly
Municipal Securities Rulemaking Board (MSRB)
NASD Dispute Resolution, Inc.
National Association of Securities Dealers (NASD)
National Futures Association (NFA)
National Market System (NMS)
National Securities Markets Improvement Act of 1996 (NSMIA)
North American Securities Administrators Association (NASAA)
NYSE Regulation
Office Of Compliance Inspections and Examinations (OCIE)
over-trading
Penny Stock Reform Act of 1990
piggybacking
portfolio pumping
prearranged trading
prospectus
proxy statement
prudent man rule
public accounting firm
Public Company Accounting Oversight Board (PCAOB)
pump and dump
quiet period
registration approval
registration statement
Regulation D
Regulation FD
Regulation Q
Regulation T
Regulation U
risk disclosure document
Rules Of Fair Practice
safe harbor
safety and soundness exam
Sarbanes-Oxley Act of 2002 (SOX)
Schedule 13D
Securities Act of 1933
Securities and Exchange Commission (SEC)
Securities Enforcement Remedies and Penny Stock Reform Act of 1990
Securities Exchange Act of 1934
Securities Investor Protection Act of 1970
Securities Investor Protection Corporation (SIPC)
Securities Traders Association (STA)
self-regulatory organization (SRO)
Series 7 License
Shareholder Communications Improvement Act
Sherman Antitrust Act
short sale rule
speculative position limits
stock manipulation
suspended trading
tailgating
Thrift Administration Review Program
Thrift Financial Report
transparency
Uniform Commercial Code (UCC)
Uniform Practice Code (UPC)
Uniform Securities Act
Uniform Securities Agent State Law Examination
unlisted trade
uptick rule
waiting period
whistle blower
Williams Act
World Federation Of Exchanges