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Articles related to the category "Laws and Regulations"

10-K Wrap2000 Investor Limit500 Shareholder Threshold8-K (Form 8K)Aaron's LawAbeyance OrderAccountant's LiabilityAccounting Series Releases (ASR)Affinity FraudAge Discrimination in Employment Act of 1967Allen StanfordAlternative 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 RegulationsAnticipatory BreachAppellate CourtsArbitrationAsset Substitution ProblemAsset-Backed Commercial Paper Money Market Fund (AMLF)Association of Certified Fraud ExaminersAttorney-In-FactAttribution RulesAverage Cost Pricing RuleBackdatingBail BondBait and SwitchBank Insurance Fund (BIF)Bank Stress TestBanker TrojanBanking And Securities Industry Committee (BASIC)BarratryBasel AccordBasel Committee on Banking SupervisionBasel IIBasel IIIBernie MadoffBid RiggingBidding RingBilateral ContractBiometricsBlack MarketBlack MoneyBlock TradeBlue SheetsBlue Sky LawsBoiler RoomBoilerplateBribeBritish Columbia Securities Commission (BCSC)Budget Control Act (BCA)Bundle of RightsBureau of Labor Statistics (BLS)Business Judgment RuleBust-OutCall ReportCanadian Investor Protection Fund (CIPF)Canadian Securities Institute (CSI)Capital RequirementsCarriage Paid To (CPT)CaveatChannel StuffingChapter 15 BankruptcyChapter 7CheapjackChina Securities Regulatory Commission (CSRC)ChurningCircular TradingCivil Money Penalty (CMP)Civil Rights Act of 1964 and Other Milestones in Civil Rights LawClass ActionClick FraudCloud ComputingCloud SecurityCommon LawCompetition In Contracting Act (CICA)Compliance DepartmentCompliance OfficerCompliance ProgramComputer AbuseConcession AgreementCongressional Oversight Panel (COP)Consent SolicitationConsumer Credit Protection Act of 1968 (CCPA)Cook the BooksCopyrightCopyright InfringementCornerCorporate FraudCorporate KleptocracyCorruptionCost and Freight (CFR)Covered SecurityCredit Support Annex (CSA)Crime of 1873CRM2CUSIP NumberCybersecurityDaisy ChainDark WebData BreachData LossData MigrationDe Novo Judicial ReviewDe-AnonymizationDebt Restructuring FraudDeficiency LetterDelivered-at-Place (DAP)Denial-of-Service (DoS) AttackDeregulationDirks TestDisgorgementDivision of Corporation FinanceDivision of Investment ManagementDodd-Frank Wall Street Reform and Consumer Protection ActDomestic Production Activities DeductionDouble DippingDual Banking SystemDuressEmbezzlementEmergency Banking Act of 1933Emergency Economic Stabilization Act (EESA) of 2008Emissions Reduction Purchase Agreement (ERPA)Employee Benefits Security Administration (EBSA)Employment Act of 1946EncryptionEnronomicsEnvironmental Protection Agency (EPA)Exchange ControlsExempt TransactionExpungeExtortionFacilitating PaymentFair Funds for InvestorsFair Labor Standards ActFamily and Medical Leave Act (FMLA)Federal AgencyFederal Communications Commission (FCC)Federal Covered AdvisorFederal Housing Finance Agency (FHFA)Federal Trade Commission (FTC)Final ProspectusFinancial Action Task Force (FATF)Financial CHOICE ActFinancial Conduct Authority (UK) (FCA)Financial Crimes Enforcement Network (FinCEN)Financial Crisis Responsibility FeeFinancial ForensicsFinancial Institutions and Prudential Policy (FIPP) UnitFinancial Services Agency (FSA)Financial Services Authority (FSA)Financial ShenanigansFinancial Stability Oversight Council (FSOC)FINTRACFirst to File RuleFive Percent RuleForm ADV-EForm F-6EFFraudFraudulent ConveyanceFree on Board (FOB)Full DisclosureGeneral Data Protection Regulation (GDPR)GhostingGinzy TradingGlobal Recovery RateGray BoxGun-JumpingHabendum ClauseHacktivismHart-Scott-Rodino Antitrust Improvements Act of 1976High-Yield Investment Program (HYIP)Housing and Economic Recovery Act (HERA)Howey TestImplied ContractImplied WarrantyIndividual Transfer Quota (ITQ)InjunctionInsider Trading Act of 1988Insider Trading Sanctions Act of 1984Intermarket Surveillance Group (ISG)International Clearing SystemInternational Labor Organization (ILO)International Organization for Standardization (ISO)International Organization of Securities Commissions (IOSCO)InterpositioningInvestment Adviser Association (IAA)Investment Advisers Act of 1940Investment Company Act of 1940Investor Protection ActIvan BoeskyKitingKnow Your Client (KYC)Lapping SchemeLegendLeprechaun LeaderLetter of CommentLetter of Indemnity (LOI)Licensing AgreementLilly Ledbetter Fair Pay ActLocked InLoopholeMacro VirusMalfeasanceMarket Capitalization RuleMarket DisciplineMarket SurveillanceMarketing FraudMarkets in Financial Instruments Directive (MiFID)Marshall PlanMaster-Servant RuleMaterial Nonpublic InformationMcFadden ActMiFID IIMisappropriation TheoryMisrepresentationMissellingMonetary Accord of 1951Money LaunderingMultijurisdictional Disclosure System (MJDS)National Association of Securities Dealers (NASD)National Futures Association (NFA)National Housing ActNational Market System Plan (NMSP)National Retail Federation (NRF)National Securities Markets Improvement Act (NSMIA)Nationally Recognized Statistical Ratings Organization (NRSRO)Nick LeesonNigerian Letter ScamNon-Compete AgreementNon-Issuer TransactionNorth American Securities Administrators Association (NASAA)Notice FilingOccupancy FraudOffice of Thrift Supervision (OTS)Offshore Portfolio Investment Strategy (OPIS)OmbudsmanOntario Securities Commission (OSC)Options Clearing Corporation (OCC)Order Protection RulePainting the TapePatent TrollPlunge Protection TeamPonzi ManiaPonzimoniumPrice CeilingPrice RiggingPrimary RegulatorPrincipal-Agent RelationshipPrivate Securities Litigation Reform Act (PSLRA)Pro TantoPromissory EstoppelProperty RightsProxy MaterialsProxy StatementPump and DumpPyramid SchemeQualified Institutional Buyer (QIB)Qualified Professional Asset Manager (QPAM)Questioned Document InvestigationRacketeeringRansomwareReasonableness StandardReclamationRedliningRegistrationRegulated MarketRegulation ARegulation B (Reg B)Regulation ERegulation EERegulation Fair Disclosure (Reg FD)Regulation KRegulation NMSRegulation SHORegulation T (Reg T)Regulation WRegulation ZRetirement of SecuritiesRio TradeRogue TraderRoyal Institution Of Chartered Surveyors (RICS)Rule 10b – 18Rule 10b-5Rule 10b-6Rule 10b5-1Rule 144Rule 144ARules of Fair PracticeS-8 FilingSchedule 13DSchedule 13E-4Schedule 13GSchedule 14CSchedule TOSchedule TO-CSchedule TO-TSEC Division of EnforcementSEC FeeSEC Form 1-ASEC Form 1-USEC Form 10SEC Form 10-12BSEC Form 10-12GSEC Form 10-CSEC Form 10-DSEC Form 10-K405SEC Form 10-KTSEC Form 10-QSEC Form 10-QTSEC Form 10-SBSEC Form 11-KSEC Form 12b-25SEC Form 13FSEC Form 144SEC Form 15SEC Form 15-12BSEC Form 15-12GSEC Form 15-15DSEC Form 15FSEC Form 17-HSEC Form 18SEC Form 18-12BSEC Form 18-KSEC Form 19b-4SEC Form 20-FSEC Form 20FR12BSEC Form 24F-2SEC Form 3SEC Form 305B2SEC Form 4SEC Form 40-FSEC Form 424ASEC Form 424B1SEC Form 424B2SEC Form 424B3SEC Form 424B4SEC Form 424B5SEC Form 425SEC Form 485A24ESEC Form 485A24FSEC Form 497SEC Form 5SEC Form 6-KSEC Form 8-ASEC Form 8-A12BSEC Form 8-K12G3SEC Form 8A12BEFSEC Form ADV-WSEC Form ARSSEC Form ATS-RSEC Form BDSEC Form BDWSEC Form CBSEC Form DSEC Form DEF 14ASEC Form DEFM14ASEC Form DFAN14ASEC Form F-10SEC Form F-3SEC Form F-4SEC Form F-6SEC Form F-7SEC Form F-8SEC Form F-NSEC Form N-14SEC Form N-14AESEC Form N-17D-1SEC Form N-17f-2SEC Form N-18f-1SEC Form N-2SEC Form N-54CSEC Form N-6SEC Form N-CSRSEC Form N-PXSEC Form N-QSEC Form N-SARSEC Form NSAR-ASEC Form NT 10-QSEC Form PRE 14ASEC Form PRE 14CSEC Form PRER14ASEC Form PRRN14ASEC Form PX14A6GSEC Form S-11SEC Form S-2SEC Form S-3SEC Form S-3DSEC Form S-4SEC Form S-6SEC Form S-8SEC Form SB-2SEC Form T-1SEC Form T-3SEC Form U-3A-2SEC Form U-5SSEC Form U-7DSEC Form X-17A-5SEC MEF FilingsSEC POS AM FilingSEC Regulation D (Reg D)SEC Release IA-1092SEC RW FilingSEC Schedule 13E-3SEC YieldSection 1202Section 12D-1Section 16Secure Electronic Transaction (SET)Securities Act of 1933Securities and Exchange Commission (SEC)Securities Exchange Act of 1934Securities FraudSecurities Industry Regulatory Authority (SIRA)Securities Investor Protection Corporation (SIPC)Securities Transfer Agents Medallion ProgramSEDARSelf-DealingSequestered AccountSeries 63Settlement PeriodSeverabilityShadow Banking SystemSherman Antitrust ActShort and DistortShort-Sale RuleSmall Business Job Protection Act of 1996SmurfSocial EngineeringSoft DollarsStare DecisisState AdministratorStatute of FraudsSTOCK ActStock ParkingSupply Chain AttackSuspicious Activity Report (SAR)Taft-Hartley ActTaping RuleTelecommunications Consumer Protection Act of 1991 (TCPA)The Jones ActThe Volcker RuleThird-Party Verification (TPV)Tied SellingTippingTort LawTrade Reporting and Compliance Engine (TRACE)Treble DamagesTruth in Lending Act (TILA)TunnelingTwo-Factor Authentication (2FA)U.S. Census BureauUltra Vires ActsUnderground EconomyUndue InfluenceUniform Individual Accident and Sickness Policy Provisions ActUniform Partnership Act (UPA)Uniform Securities ActUnilateral ContractUnlawful LoanUnregistered SharesUptick RuleUrban Development Act of 1970UsufructUsury LawsValue-Added Network (VAN)Void ContractVoluntary Plan TerminationVoodoo AccountingWage Earner's PlanWater Quality Improvement Act of 1970Watered StockWells NoticeWhistleblowerWhite-Collar CrimeWire FraudWritWrit of AttachmentWrit of ExecutionWrongful Termination ClaimZero-Day AttackZoning OrdinanceZZZZ Best