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Investing Laws & Regulations

Laws & Regulations

Global financial markets are governed by rules and regulations intended to protect the investor and the consumer.

Laws & Regulations
  • Crime & Fraud
  • SEC
  • Cybersecurity
student studying for exam
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.
  • Bilateral Contract Definition
  • Deregulation Definition
  • United States Federal Reserve building, Washington DC, USA
    Truth in Lending Act (TILA) Definition
  • Hands holding Fiduciary duty in an court.
    Fiduciary Duty Examples
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    Bail Bond Definition
  • Cost and Freight (CFR) Definition
  • Gavel
    Common Law Definition: History, Uses, & Example
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    Free On Board (FOB) Definition
  • The Jones Act Definition
  • Business success and growth concept.Stock market business graph chart on digital screen.Forex market, Gold market and Crude oil market .
    Non-Compete Agreement Definition
  • Property Rights Definition
  • Stare Decisis Definition
  • Unilateral Contract Definition
  • MiFID II Definition
  • Full Frame Shot of Paper Currencies on Table
    Exchange Control
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    Regulation T (Reg T) Definition
  • Securities and Exchange Commission Washington, D.C. Headquarters
    Schedule 13D Definition
  • Securities Act of 1933 Definition
  • Settlement Period Definition
  • Money from around the world
    International Monetary Fund (IMF) vs. the World Bank: What's the Difference?
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    Attorney-In-Fact Definition
  • Block Trade Definition
  • Midsection of Judge and Client Sitting at Table in Office
    Blue Sky Laws Definition
  • Please Sign Here
    Bundle of Rights Definition
  • Male lawyers reviewing and signing contract in conference room
    Concession Agreement Definition
  • Delivered-at-Place (DAP) Definition
  • Implied Contract Definition
  • Regulation Z Definition
  • Credit
    Regulation B (Reg B) Definition
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    Regulation E Definition
  • Statute of Frauds Definition
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    CUSIP Number Definition
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    Markets in Financial Instruments Directive (MiFID) Definition
  • Regulation A Definition
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    Credit Support Annex (CSA) Definition
  • Man signing contract
    Letter of Indemnity (LOI) Definition
  • Licensing Agreement Definition
  • Stock Investment
    Qualified Institutional Buyer (QIB) Definition
  • U.S. Securities and Exchange Commission headquarters
    Rule 10b5-1 Definition
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    How War Affects the Modern Stock Market
  • Shadow Banking System Definition
  • Dodd-Frank Wall Street Reform and Consumer Protection Act Definition
  • Paul Volcker
    The Volcker Rule Definition
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    Asset-Backed Commercial Paper Money Market Fund (AMLF) Definition
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    Banking And Securities Industry Committee (BASIC) Definition
  • Section 16 Definition
  • Short-Sale Rule Definition
  • A bound paper copy of the FLSA/Fair Labor Standards Act on paper
    Fair Labor Standards Act (FLSA) Definition
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    NAFTA's Winners and Losers
  • US flag flies outside of the Carl B. Stokes Federal Courthouse
    Government Regulations: Do They Help Businesses?
  • Estoppel
    Promissory Estoppel Definition
  • Calculate How Much Cost or Spending Have With Credit Cards
    What Happens to Shareholders Equity Under Chapter 11 Bankruptcy?
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    Basel III Definition
  • Currency
    What Rights Do All Common Shareholders Have?
  • Wall St.
    SEC Form 10-Q Definition
  • Putting Numbers Into Perspective
    Emergency Banking Act of 1933 Definition
  • Businessman Lobbying for His Cause
    Which Industry Spends the Most on Lobbying?
  • Government Regulation and the Financial Services Sector
  • Soft Dollars Definition
  • Copyright Protection
    Copyright Definition
  • Zoning Ordinance Definition
  • Model of several small buildings inside single larger building
    Sherman Antitrust Act Definition
  • Financial CHOICE Act Definition
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