Articles related to the category "Laws and Regulations"

10-K Wrap 2000 Investor Limit 500 Shareholder Threshold 8-K (Form 8K)Aaron's Law Abeyance Order Accountant's Liability Accounting Series Releases (ASR)Affinity Fraud Age Discrimination in Employment Act of 1967 Allen Stanford Alternative Investment Fund Managers Directive (AIFMD)American National Standards Institute (ANSI)American Recovery and Reinvestment Act (ARRA)Americans with Disabilities Act Amendments Act of 2008 (ADAAA)Anti Money Laundering (AML)Anti-Boycott Regulations Anticipatory Breach Appellate Courts Arbitration Asset Substitution Problem Asset-Backed Commercial Paper Money Market Fund (AMLF)Association of Certified Fraud Examiners Attorney-In-Fact Attribution Rules Average Cost Pricing Rule Backdating Bail Bond Bait and Switch Bank Insurance Fund (BIF)Bank Stress Test Banker Trojan Banking And Securities Industry Committee (BASIC)Barratry Basel Accord Basel Committee on Banking Supervision Basel II Basel III Bernie Madoff Bid Rigging Bidding Ring Bilateral Contract Biometrics Black Market Black Money Block Trade Blue Sheets Blue Sky Laws Boiler Room Boilerplate Bribe British Columbia Securities Commission (BCSC)Budget Control Act (BCA)Bundle of Rights Bureau of Labor Statistics (BLS)Business Judgment Rule Bust-Out Call Report Canadian Investor Protection Fund (CIPF)Canadian Securities Institute (CSI)Capital Requirements Carriage Paid To (CPT)Caveat Channel Stuffing Chapter 15 Bankruptcy Chapter 7 Cheapjack China Securities Regulatory Commission (CSRC)Churning Circular Trading Civil Money Penalty (CMP)Civil Rights Act of 1964 and Other Milestones in Civil Rights Law Class Action Click Fraud Cloud Computing Cloud Security Common Law Competition In Contracting Act (CICA)Compliance Department Compliance Officer Compliance Program Computer Abuse Concession Agreement Congressional Oversight Panel (COP)Consent Solicitation Consumer Credit Protection Act of 1968 (CCPA)Cook the Books Copyright Copyright Infringement Corner Corporate Fraud Corporate Kleptocracy Corruption Cost and Freight (CFR)Covered Security Credit Support Annex (CSA)Crime of 1873 CRM2 CUSIP Number Cybersecurity Daisy Chain Dark Web Data Breach Data Loss Data Migration De Novo Judicial Review De-Anonymization Debt Restructuring Fraud Deficiency Letter Delivered-at-Place (DAP)Denial-of-Service (DoS) Attack Deregulation Dirks Test Disgorgement Division of Corporation Finance Division of Investment Management Dodd-Frank Wall Street Reform and Consumer Protection Act Domestic Production Activities Deduction Double Dipping Dual Banking System Duress Embezzlement Emergency Banking Act of 1933 Emergency Economic Stabilization Act (EESA) of 2008 Emissions Reduction Purchase Agreement (ERPA)Employee Benefits Security Administration (EBSA)Employment Act of 1946 Encryption Enronomics Environmental Protection Agency (EPA)Exchange Controls Exempt Transaction Expunge Extortion Facilitating Payment Fair Funds for Investors Fair Labor Standards Act Family and Medical Leave Act (FMLA)Federal Agency Federal Communications Commission (FCC)Federal Covered Advisor Federal Housing Finance Agency (FHFA)Federal Trade Commission (FTC)Final Prospectus Financial Action Task Force (FATF)Financial CHOICE Act Financial Conduct Authority (UK) (FCA)Financial Crimes Enforcement Network (FinCEN)Financial Crisis Responsibility Fee Financial Forensics Financial Institutions and Prudential Policy (FIPP) Unit Financial Services Agency (FSA)Financial Services Authority (FSA)Financial Shenanigans Financial Stability Oversight Council (FSOC)FINTRAC First to File Rule Five Percent Rule Form ADV-E Form F-6EF Fraud Fraudulent Conveyance Free on Board (FOB)Full Disclosure General Data Protection Regulation (GDPR)Ghosting Ginzy Trading Global Recovery Rate Gray Box Gun-Jumping Habendum Clause Hacktivism Hart-Scott-Rodino Antitrust Improvements Act of 1976 High-Yield Investment Program (HYIP)Housing and Economic Recovery Act (HERA)Howey Test Implied Contract Implied Warranty Individual Transfer Quota (ITQ)Injunction Insider Trading Act of 1988 Insider Trading Sanctions Act of 1984 Intermarket Surveillance Group (ISG)International Clearing System International Labor Organization (ILO)International Organization for Standardization (ISO)International Organization of Securities Commissions (IOSCO)Interpositioning Investment Adviser Association (IAA)Investment Advisers Act of 1940 Investment Company Act of 1940 Investor Protection Act Ivan Boesky Kiting Know Your Client (KYC)Lapping Scheme Legend Leprechaun Leader Letter of Comment Letter of Indemnity (LOI)Licensing Agreement Lilly Ledbetter Fair Pay Act Locked In Loophole Macro Virus Malfeasance Market Capitalization Rule Market Discipline Market Surveillance Marketing Fraud Markets in Financial Instruments Directive (MiFID)Marshall Plan Master-Servant Rule Material Nonpublic Information McFadden Act MiFID II Misappropriation Theory Misrepresentation Misselling Monetary Accord of 1951 Money Laundering Multijurisdictional Disclosure System (MJDS)National Association of Securities Dealers (NASD)National Futures Association (NFA)National Housing Act National Market System Plan (NMSP)National Retail Federation (NRF)National Securities Markets Improvement Act (NSMIA)Nationally Recognized Statistical Ratings Organization (NRSRO)Nick Leeson Nigerian Letter Scam Non-Compete Agreement Non-Issuer Transaction North American Securities Administrators Association (NASAA)Notice Filing Occupancy Fraud Office of Thrift Supervision (OTS)Offshore Portfolio Investment Strategy (OPIS)Ombudsman Ontario Securities Commission (OSC)Options Clearing Corporation (OCC)Order Protection Rule Painting the Tape Patent Troll Plunge Protection Team Ponzi Mania Ponzimonium Price Ceiling Price Rigging Primary Regulator Principal-Agent Relationship Private Securities Litigation Reform Act (PSLRA)Pro Tanto Promissory Estoppel Property Rights Proxy Materials Proxy Statement Pump and Dump Pyramid Scheme Qualified Institutional Buyer (QIB)Qualified Professional Asset Manager (QPAM)Questioned Document Investigation Racketeering Ransomware Reasonableness Standard Reclamation Redlining Registration Regulated Market Regulation A Regulation B (Reg B)Regulation E Regulation EE Regulation Fair Disclosure (Reg FD)Regulation K Regulation NMS Regulation SHO Regulation T (Reg T)Regulation W Regulation Z Retirement of Securities Rio Trade Rogue Trader Royal Institution Of Chartered Surveyors (RICS)Rule 10b – 18 Rule 10b-5 Rule 10b-6 Rule 10b5-1 Rule 144 Rule 144A Rules of Fair Practice S-8 Filing Schedule 13D Schedule 13E-4 Schedule 13G Schedule 14C Schedule TO Schedule TO-C Schedule TO-T SEC Division of Enforcement SEC Fee SEC Form 1-A SEC Form 1-U SEC Form 10 SEC Form 10-12B SEC Form 10-12G SEC Form 10-C SEC Form 10-D SEC Form 10-K405 SEC Form 10-KT SEC Form 10-Q SEC Form 10-QT SEC Form 10-SB SEC Form 11-K SEC Form 12b-25 SEC Form 13F SEC Form 144 SEC Form 15 SEC Form 15-12B SEC Form 15-12G SEC Form 15-15D SEC Form 15F SEC Form 17-H SEC Form 18 SEC Form 18-12B SEC Form 18-K SEC Form 19b-4 SEC Form 20-F SEC Form 20FR12B SEC Form 24F-2 SEC Form 3 SEC Form 305B2 SEC Form 4 SEC Form 40-F SEC Form 424A SEC Form 424B1 SEC Form 424B2 SEC Form 424B3 SEC Form 424B4 SEC Form 424B5 SEC Form 425 SEC Form 485A24E SEC Form 485A24F SEC Form 497 SEC Form 5 SEC Form 6-K SEC Form 8-A SEC Form 8-A12B SEC Form 8-K12G3 SEC Form 8A12BEF SEC Form ADV-W SEC Form ARS SEC Form ATS-R SEC Form BD SEC Form BDW SEC Form CB SEC Form D SEC Form DEF 14A SEC Form DEFM14A SEC Form DFAN14A SEC Form F-10 SEC Form F-3 SEC Form F-4 SEC Form F-6 SEC Form F-7 SEC Form F-8 SEC Form F-N SEC Form N-14 SEC Form N-14AE SEC Form N-17D-1 SEC Form N-17f-2 SEC Form N-18f-1 SEC Form N-2 SEC Form N-54C SEC Form N-6 SEC Form N-CSR SEC Form N-PX SEC Form N-Q SEC Form N-SAR SEC Form NSAR-A SEC Form NT 10-Q SEC Form PRE 14A SEC Form PRE 14C SEC Form PRER14A SEC Form PRRN14A SEC Form PX14A6G SEC Form S-11 SEC Form S-2 SEC Form S-3 SEC Form S-3D SEC Form S-4 SEC Form S-6 SEC Form S-8 SEC Form SB-2 SEC Form T-1 SEC Form T-3 SEC Form U-3A-2 SEC Form U-5S SEC Form U-7D SEC Form X-17A-5 SEC MEF Filings SEC POS AM Filing SEC Regulation D (Reg D)SEC Release IA-1092 SEC RW Filing SEC Schedule 13E-3 SEC Yield Section 1202 Section 12D-1 Section 16 Secure Electronic Transaction (SET)Securities Act of 1933 Securities and Exchange Commission (SEC)Securities Exchange Act of 1934 Securities Fraud Securities Industry Regulatory Authority (SIRA)Securities Investor Protection Corporation (SIPC)Securities Transfer Agents Medallion Program SEDAR Self-Dealing Sequestered Account Series 63 Settlement Period Severability Shadow Banking System Sherman Antitrust Act Short and Distort Short-Sale Rule Small Business Job Protection Act of 1996 Smurf Social Engineering Soft Dollars Stare Decisis State Administrator Statute of Frauds STOCK Act Stock Parking Supply Chain Attack Suspicious Activity Report (SAR)Taft-Hartley Act Taping Rule Telecommunications Consumer Protection Act of 1991 (TCPA)The Jones Act The Volcker Rule Third-Party Verification (TPV)Tied Selling Tipping Tort Law Trade Reporting and Compliance Engine (TRACE)Treble Damages Truth in Lending Act (TILA)Tunneling Two-Factor Authentication (2FA)U.S. Census Bureau Ultra Vires Acts Underground Economy Undue Influence Uniform Individual Accident and Sickness Policy Provisions Act Uniform Partnership Act (UPA)Uniform Securities Act Unilateral Contract Unlawful Loan Unregistered Shares Uptick Rule Urban Development Act of 1970 Usufruct Usury Laws Value-Added Network (VAN)Void Contract Voluntary Plan Termination Voodoo Accounting Wage Earner's Plan Water Quality Improvement Act of 1970 Watered Stock Wells Notice Whistleblower White-Collar Crime Wire Fraud Writ Writ of Attachment Writ of Execution Wrongful Termination Claim Zero-Day Attack Zoning Ordinance ZZZZ Best

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