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Finance Glossary
Just call us Bond. Amortized bond.
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Regulations
- 10-K Wrap
- 10-Q / 10-K
- 10b5-1
- 1913 Federal Reserve Act
- 1979 Energy Crisis
- 8(a) Firm
- 8-K
- A.M. Best
- ABLE Account
- Absolute Interest
- Academy Of Accounting Historians
- Academy Of Financial Divorce Practitioners
- Accelerated Benefits
- Accelerated Payments
- Accelerated Resolution Program (ARP)
- Acceleration Clause
- Acceleration Principle
- Accommodation Endorsement
- Accommodation Endorser
- Accord And Satisfaction
- ACCRA Cost Of Living Index - COLI
- Accredited Advisor In Insurance - AAI
- Accredited Automated Clearing House Professional - AAP
- Accredited In Business Valuation (ABV)
- Accredited Valuation Analyst - AVA
- Accrued Benefits
- Accrued Expense
- Accrued Income
- Accumulated Dividend
- Acid Test Ratio
- Acting In Concert
- Actionable
- Activist Investor
- Activity Center
- Activity Charge
- Actual Authority
- Add-On No-Fault Laws
- Adjudication
- Adjunct Account
- Adjustable Premium
- Adjusted Earnings
- Adjustment Income
- Administrative Law
- Administrative Order On Consent (AOC)
- Administrative Services Only - ASO
- Admiralty Court
- Admiralty Liability
- Admiralty Proceeding
- ADP National Employment Report
- Advance Commitment
- Advance Directive
- Advance Dividend
- Advanced Persistent Threats (APT)
- Adverse Audit Opinion
- Adverse Credit History
- Adverse Domination
- Adverse Possession
- Affirmative Action
- Affirmative Covenant
- Affordable Care Act
- After-Tax Marginal Product Of Labor
- After-Tax Profit Margin
- After-Tax Real Interest Rate
- After-Tax Yield
- Against Actual
- Against All Risks - AAR
- Age Discrimination In Employment Act Of 1967
- Aged Fail
- Agency By Necessity
- Agency Cross
- Agency Cross Transaction
- Agency Relationship
- Aggregate Limit Of Liability
- Agreed Amount Clause
- Agreement Corporation
- Agricultural Sector Investment Program - ASIP
- Agroforestry
- Air Cargo Insurance
- Aircraft Insurance
- Airport Tax
- Aleatory Contract
- Alien Insurer
- All-Holders Rule
- Allied Lines
- Allied Member
- Allonge
- Altered Check
- Alternative Dispute Resolution
- Alternative Minimum Tax (AMT)
- Alternative Tax Net Operating Loss - ATNOL
- Amakudari
- AMBAC
- Ambulance Chaser
- Amendment
- American Association Of Individual Investors - AAII
- American Clean Energy And Security Act Of 2009
- American Jobs Creation Act Of 2004
- American Municipal Bond Assurance Corporation
- American National Standards Institute - ANSI
- American Opportunity Tax Credit
- American Rule
- American Taxpayer Relief Act Of 2012
- Americans With Disabilities Act - ADA
- Americans With Disabilities Act Amendments Act Of 2008 - ADAAA
- Amnesty
- Anarchy
- Andersen Effect
- Announcement Date
- Annual
- Annual Addition
- Annual Basis
- Annual Budget
- Annual Convention Blank
- Annual Report
- Antedate
- Anti-Boycott Regulations
- Anti-Dumping Duty
- Anti-Indemnity Statute
- Anti-Money Laundering - AML
- Anti-Money Laundering Laws
- Anti-Stacking Provisions
- Anticipatory Breach
- Antitrust
- Appellate Courts
- Arbitration
- Archer MSA
- Arm's Length Market
- Arm's Length Transaction
- Arraignment
- Assessable Capital Stock
- Assessable Policy
- Assigned Risk
- Assignee
- At Risk Rules
- Attestation
- Attorney In Fact
- Attorney's Fee Awards
- Attorney's Letter
- Attornment
- Attractive Nuisances
- Audit
- Audit Committee
- Audit Cycle
- Audit Department
- Audit Risk
- Audit Trail
- Auditability
- Auditing Evidence
- Auditing Standards Board - ASB
- Auditor
- Authorization Code
- Authorizing Resolution
- Automated Confirmation Transaction Service - ACT
- Automatic Stabilizer
- Automatic Transfer Service - ATS
- Aval
- Average Tax Rate
- Baby Bells
- Baby Berkshire
- Back Of The Napkin Business Model
- Back Office
- Back Pay
- Back Taxes
- Back-End Plan
- Backdated Liability Insurance
- Bad Title
- Bail-In
- Balanced Budget
- Balanced Trade
- Ballot
- Bank
- Bank Discount Rate
- Bank Examination
- Bank Failure
- Bank Insurance Fund (BIF)
- Bank Panic Of 1907
- Bank Rate
- Bank Rating
- Bank Reconciliation Statement
- Bank Reserve
- Bank Restriction Act Of 1797
- Bank Run
- Bank Secrecy Act - BSA
- Bank Stress Test
- Bank Trust Custodial Account
- Banking And Securities Industry Committee - BASIC
- Bankruptcy Abuse Prevention And Consumer Protection Act - BAPCPA
- Bankruptcy Court
- Bankruptcy Financing
- Bar Exam
- Barratry
- Bases Of Power
- Basic Income
- Basic Reparations Benefits
- Basket Of Goods
- Bearer Bond
- Bearer Form
- Bearer Instrument
- Bearer Share
- Best Efforts
- Best Endeavors
- Better Business Bureau - BBB
- Betterment Insurance
- Bid Rigging
- Bid Size
- Bid Support
- Bid Tick
- Bid Wanted
- Bid Wanted In Competition - BWIC
- Bid Whacker
- Bid-to-Cover Ratio
- Bidder
- Bidding Ring
- Bidding Up - Securities
- Bidding War
- Bilateral Contract
- Bilateral Credit Agreement
- Bilateral Extended Reporting Period Provision
- Bilateral Monopoly
- Bimetallic Standard
- Bingo Card Program
- Black Friday
- Black Monday
- Black Money
- Black Swan
- Black Thursday
- Black Tuesday
- Black Wednesday
- Blacklist
- Blank Endorsement
- Blanket Additional Insured Endorsement
- Blanket Medical Expense
- Blind Taxpayer
- Blocked Account
- Blocked Currency
- Blocked Period
- Blue Sheets
- Blue Sky Laws
- Board Certified In Estate Planning - BCE
- Board Of Directors
- Boilerplate
- Border Adjustment Tax
- Borrowed Servant Rule
- Bottom-Dollar Scam
- Boundaryless Structure
- Breach Of Contract
- Breentry
- Bremain
- Brent Blend
- Bretton Woods Agreement
- Brexit
- Brexodus
- Bribe
- Brinkmanship
- Britcoin
- Broad Evidence Rule
- Broke The Buck
- Broker-Reseller
- Brought Over The Wall
- Buck
- Buffett Rule
- Building Ordinance Coverage
- Building Society
- Bullion
- Bullion Coins
- Bullion Market
- Bumbershoot Policy
- Bundle Of Rights
- Burden Of Proof
- Bureaucracy
- Bureaucracy Structure
- Burgernomics
- Business Consolidation
- Business Continuity Planning - BCP
- Business Development Company - BDC
- Business Ecosystem
- Business Guarantee
- Business Judgment Rule
- Buyout Settlement Clause
- Cafeteria Plan
- Call Report
- Capital Buffer
- Capital Consumption Allowance - CCA
- Capital Goods
- Capital Market Line - CML
- Capital Purchase Program - CPP
- Capital Rationing
- Capital Recovery
- Capital Reduction
- Capital Strike
- Capitalism
- Carding
- Care, Custody Or Control (CCC)
- Carmack Amendment
- Carried Interest
- Cartel
- Cascade Tax
- Cash Settlement
- Cash Surrender Value
- Cass Freight Index
- Cat Fishing
- Catalog Of Federal Domestic Assistance – CFDA
- Cease And Desist
- Celler-Kefauver Act
- Centipede Game
- Central Bank
- Central Counterparty Clearing House - CCP
- Central Guarantee Fund
- Centralized Market
- Centrally Planned Economy
- Certificate Of Deposit (COD)
- Certificate Of Need
- Certificate Of Title
- Certificated Stock
- Certified Anti-Money Laundering Specialist - CAMS
- Certified Asset Protection Analyst - CAPA
- Certified Divorce Financial Analyst - CDFA
- Certified Employee Benefit Specialist
- Certified Financial Divorce Practitioner - CFDP
- Certified Financial Planner - CFP
- Certified Financial Statement
- Certified Fraud Examiner - CFE
- Certified Fund Specialist - CFS
- Certified Information Systems Auditor - CISA
- Certified Internal Auditor - CIA
- Certified Investment Management Consultant - CIMC
- Certified Investment Management Specialist - CIMS
- Certified Management Accountant - CMA
- Certified Public Accountant - CPA
- Certified Treasury Professional - CTP
- Certified Trust And Financial Advisor - CTFA
- Cestui Que Vie
- CFA Institute
- Chaebol Structure
- Chain Of Title
- Chain Store Sales
- Chair Of The Board - COB
- Chairman
- Chamber Of Commerce
- Chapter 10
- Chapter 11
- Chapter 12
- Chapter 13
- Chapter 15
- Chapter 7
- Chapter 9
- Charge Card
- Chargeback
- Chartalism
- Charter
- Chartered Bank
- Chartered Financial Analyst - CFA
- Chartered Financial Consultant - ChFC
- Chartered Financial Risk Engineer - CFRE
- Chartered Insurance Professional - CIP
- Chartered Investment Counselor - CIC
- Chartered Life Underwriter (CLU)
- Chartered Property Casualty Underwriter (CPCU)
- Chartered Trust And Estate Planner
- Chattel
- Check Clearing For The 21st Century Act - Check 21
- Check Hold
- Check Representment
- Checking Account
- Checks
- Checks And Balances
- Child And Dependent Care Credit
- Child Support
- Child Tax Credit
- Children’s Health Insurance Program (CHIP)
- CINS Number
- Circuit Breaker
- Citizenship Test
- Civil Damages
- Civil Money Penalty - CMP
- Civil Service Retirement System - CSRS
- Clayton Antitrust Act
- Clean Bill Of Lading
- Clean Your Skirts
- Clear Title
- Clinical Trials
- Closed Indenture
- Closed-End Credit
- Closed-End Indenture
- Coastal Barrier Improvement (CBI) Act
- Code Of Ethics
- Codicil
- Collectibles
- Collection Agencies
- College Level Examination Program - CLEP
- Collusion
- Combating The Financing Of Terrorism (CFT)
- Comfort Letter
- Committee On Foreign Investment In The United States - CFIUS
- Committee On Payment And Settlement Systems - CPSS
- Commoditization
- Commoditize
- Commodity
- Commodity Block Currency
- Commodity Exchange Act - CEA
- Commodity Futures Trading Commission - CFTC
- Commodity Index
- Common Carrier
- Common Currency
- Common Law
- Common Law Property
- Common Pool
- Common Shares
- Community Currency
- Community Development Financial Institution - CDFI
- Community Income
- Community Property
- Community Reinvestment Act
- Commutation
- Commutation Agreement
- Compensatory Damages
- Competition In Contracting Act - CICA
- Competitive Bid
- Competitive Bid Option
- Competitive Underwriting
- Compliance Cost
- Compliance Department
- Compliance Examination
- Compliance Officer
- Compliance Program
- Compliance Registered Options Principal - CROP
- Comprehensive Income
- Compulsory Insurance
- Concurrent Causation
- Condition Precedent
- Conditional Offer
- Conference Of State Bank Supervisors - CSBS
- Confining Condition
- Confirmed Letter Of Credit
- Consignment Insurance
- Consolidated Omnibus Budget Reconciliation Act - COBRA
- Constructive Receipt
- Constructive Sale Rule - Section 1259
- Consumer Financial Protection Act
- Consumer Financial Protection Bureau - CFPB
- Consumption Tax
- Contempt Of Court
- Contingency
- Contingency Order
- Contingency Perspective
- Contingent Voting Power
- Continuity Of Business Enterprise Doctrine
- Contractual Clarity
- Contributory Negligence
- Contributory Value
- Control Of Well Insurance
- Cooperation Clause
- Copyright
- Copyright Infringement
- Core Competencies
- Core Competency
- Core Self-Evaluation
- Corporate Accountability
- Corporate Action
- Council Of Economic Advisors - CEA
- Council Of Insurance Agents & Brokers
- Council Of Petroleum Accountants Societies - COPAS
- Countermand
- Countersignature
- Countervailing Duties (CVDs)
- Covenant
- Covenant Not To Sue
- Cover Letter
- Credit Card
- Credit Check
- Credit Counseling Service
- Credit Limit
- Credit Rating Agency Reform Act Of 2006
- Credit Union
- Crystallization
- Daily Trading Limit
- Date Certain
- De Novo Judicial Review
- Deal Ticket
- Death Master File (DMF)
- Debenture
- Defect Of Record
- Defective Title
- Deficiency
- Deficiency Agreement
- Deficiency Balance
- Deficiency Judgment
- Delinquent
- Delinquent Account
- Demurrage
- Demutualization
- Deregulation
- Design Patent
- Detection Risk
- Determination Letter
- Digital Nomad
- Digits Deleted
- Direct Tax
- Director Rotation
- Directorate
- Directors And Officers Liability Insurance (D&O)
- Disaffirmance
- Disaster Recovery Site
- Disaster Relief Act
- Discharge In Bankruptcy
- Disclaim
- Disclosable Event
- Disclosure Statement
- Discouraged Worker
- Discriminating Monopoly
- Discussion Memorandum
- Disease Management Program
- Disgorgement
- Disinvestment
- Dismal Science
- Dissenters' Rights
- Dissident Director
- Distribution Clause
- Divestment
- Dividend Clawback
- Dividend Policy
- Doctrine Of Utmost Good Faith
- Documentary Collection
- Dodd-Frank Wall Street Reform And Consumer Protection Act
- Dollar Drain
- Double Dipping
- Douglas Amendment
- Dram Shop Laws
- Due Diligence
- Due Diligence
- Due Process
- Dummy Director
- Dummy Shareholder
- Durbin Amendment
- Duty Of Care
- Duty Of Loyalty
- DVP (Delivery V. Payment)
- Easy-Access Credit
- ECN (Electronic Communication Network)
- Economic Conditions
- Economic Espionage
- Economic Growth And Tax Relief Reconciliation Act Of 2001 - EGTRRA
- Economic Justice
- Economic Recovery Tax Act Of 1981 - ERTA
- Economic Secession
- Economic Stimulus
- Effects Of Government Intervention / Price Control
- Effects Test
- Elder-Ray Index
- Election Period
- Electronic Funds Transfer (EFT)
- Electronic Funds Transfer Act
- Eminent Domain
- Emissions Reduction Purchase Agreement - ERPA
- Employer Identification Number - EIN
- Employment Act Of 1946
- Encumbered Securities
- Encumbrance
- Endogenous Money
- Endorse
- Endorsement
- Energy Resources Conservation Board - ERCB
- Engagement Letter
- Engel's Law
- Enterprise Risk Management
- Entitlement Offer
- Entity Theory
- Entity-Purchase Agreement
- Environmental Impact Statement
- Environmental Protection Agency (EPA)
- Environmental Uncertainty
- Equal Credit Opportunity Act - ECOA
- Equal Employment Opportunity Commission - EEOC
- Equitable Relief
- Equitable Subrogation
- Erasure Guarantee
- Errors And Omissions Insurance - E&O
- Escalator Clause
- Estoppel
- European Sovereign Debt Crisis
- European Union - EU
- Ex Legal
- Ex-Date
- Ex-Distribution
- Ex-Dividend
- Ex-Post
- Ex-Post Risk
- Ex-Rights
- Ex-Warrant
- Exchange Fees
- Exchange Stabilization Fund - ESF
- Executrix
- Exit Visa
- Exon-Florio Provision
- Expiry Date
- Extended Trading
- Face Amount
- FACs
- Fair Credit Reporting Act
- Fair Debt Collection Practices Act
- Fairness Opinion
- FASB
- Fat Finger Error
- FDIC
- FDIC Problem Bank List
- Feasibility Study
- FED Pass
- Federal Communications Commission - FCC
- Federal Covered Advisor
- Federal Deposit Insurance Corporation (FDIC)
- Federal Open Market Committee (FOMC)
- Federal Open Market Committee Meeting - FOMC Meeting
- Federal Reserve Board
- Federal Reserve Float
- Federal Reserve Regulations
- Federal Reserve System
- Federal Tax Brackets
- Federal Tax Lien
- Federal Telephone Excise Tax
- Federal Trade Commission - FTC
- Federal Unemployment Tax Act - FUTA
- Federal-State Unemployment Compensation Program
- FFBC (First Financial BanCorp)
- FICO Score
- Field Audit
- Filing Status
- Fill An Order
- Financial Crimes Enforcement Network - FinCEN
- Financial Industry Regulatory Authority - FINRA
- Financial Institutions Regulatory Act
- Financial Power Of Attorney
- Financial Privacy
- Financial Responsibility Clause
- Financial Risk
- Financial Risk Manager - FRM
- Financial Services Modernization Act Of 1999
- Financial Stability Oversight Council
- Financial System
- Financing Statement
- Fine Print
- Finite Reinsurance
- FINRA (Financial Industry Regulatory Authority)
- FINTRAC
- Firm Order
- First Amendment
- First Call Date
- First Notice
- First To File Rule
- Fiscal Cliff
- Fiscal Imbalance
- Fiscal Localism
- Fiscal Multiplier
- Fiscal Neutrality
- Fiscal Policy
- Follow The Settlements
- FOMC
- Footnotes To The Financial Statements
- Forbearance
- Foreign Corrupt Practices Act
- Forfeited Share
- Form ADV
- Formal Tax Legislation
- Forward Guidance
- Forward Looking
- Forward Margin
- Fraudulent Conveyance
- Free And Clear
- Free Trade
- Freeriding
- Frozen Account
- Fulcrum Fee
- Full Disclosure
- Full Trading Authorization
- Fully Bought Deal/Bought Deal
- Fully Registered Bonds
- Futures Industry Association - FIA
- Futures Market
- G.I. Bill
- GAAP
- Gate Provision
- Gatekeeper
- Gather In The Stops
- General Agreement On Tariffs And Trade - GATT
- Generally Accepted Accounting Principles - GAAP
- Generally Accepted Auditing Standards - GAAS
- Generally Accepted Principles And Practices - GAPP
- Glass-Steagall Act
- Going Concern
- Gold Reserve Act Of 1934
- Government Accountability Office - GAO
- Government Accounting Standards Board - GASB
- Government Securities Clearing Corporation - GSCC
- Government-set Price Ceiling
- Government-set Price Floor
- Graham-Cassidy Healthcare Bill
- Grain Futures Act Of 1922
- Gramm-Leach-Bliley Act Of 1999 - GLBA
- Grandfather Clause
- Grandfathered Activities
- Grandfathered Bond
- Grandfathered Health Plan
- Grandfathering
- Gray List
- Gray Market
- Green Book
- Green Monday
- Grey Market
- Gross National Product - GNP
- Halted Issue
- Hard Inquiry
- Hardship Exemption
- Hart-Scott-Rodino Antitrust Improvements Act Of 1976
- Hedge Clause
- Held At The Opening
- Held Order
- Held-For-Trading Security
- Held-To-Maturity Security
- Heroes Earned Retirement Opportunities Act - HERO
- Holder Of Record
- Housing And Economic Recovery Act (HERA)
- Howey Case
- HTTPS
- HUD-1 Form
- Hydraulic Fracturing
- Impact Day
- Impeachment
- Impound
- In The Penalty Box
- Incentive Distribution Rights (IDR)
- Incontestability Clause
- Indictment
- Individual Account
- Informed Consent
- Injunction
- Innocent Purchaser For Value
- Insider Information
- Insider Trading Sanctions Act Of 1984
- Inspectorial Powers
- Instrumentality
- Insurance Grace Period
- Intellectual Property
- Inter-Vivos Trust
- Interbank National Authorization System (INAS)
- Internal Revenue Code
- Internal Revenue Service
- International Organization For Standardization - ISO
- Interpretive Letter
- Intrastate Offering
- Investment Advisor
- Investment Advisory Representative - IAR
- Investment In The Contract
- Investor Protection Act
- IPO Lock-Up
- Joint
- Joint And Several Liability
- Joint Liability
- Jointly And Severally
- Jonestown Defense
- Judgment
- Judgment Lien
- Judgment-Proof
- Judicial Foreclosure
- Jumpstart Our Business Startups Act - JOBS
- Junior Debt
- Jurisdiction Risk
- Kamikaze Defense
- Keogh Plan
- Keystone XL Pipeline
- Kyoto Protocol
- Lame Duck
- Lapse Ratio
- Late Fee
- Lawful Money
- Legatee
- Legislative Overkill
- Legislative Risk
- Lemons Problem
- Letter Of Comfort
- Licensed International Financial Analyst - LIFA
- Licensee
- Licensing Revenue
- Lilly Ledbetter Fair Pay Act
- Liquidated Damages
- Liquidation
- Lisbon Treaty
- Litigation Risk
- Loophole
- LPG Fracturing
- Maastricht Treaty
- Mail, Internet, Or Telephone Order Merchandise Rule
- Major Fraud Act Of 1988
- Manual Execution
- Maritime Law
- Market If Touched
- Market Maker
- Market Reform Act Of 1990
- Market Standoff Agreement
- Matched Purchases
- McCallum Rule
- McFadden Act
- Meander Line
- Medicaid
- Mello-Roos
- Member Firm
- Merchant Agreement
- Merchant Category Codes (MCC)
- Merchant Discount Rate
- MiFID II
- Mineral Rights
- Mini-Miranda Rights
- Mississippi Company
- Mondustrial Policy
- Monetary Accord Of 1951
- Monetary Control Act
- Monetary Reform
- Monopsony
- Moody's
- Moratorium
- Morris Plan Bank
- MSRB (Municipal Securities Rulemaking Board)
- Municipal Securities Rulemaking Board - MSRB
- Municipal Syndicate
- Mutual Exclusion Doctrine
- NASD
- National Quotation Bureau - NQB
- National Securities Clearing Corporation - NSCC
- Natural Law
- Natural Law
- Natural Selection
- Negative Authorization
- Negative Confirmation
- Negative Covenant
- Negative Obligation
- Negative Pledge Clause
- Negative Watch
- Nevada Corporation
- New Account Form
- New Alternative Transportation To Give Americans Solutions Act Of 2011
- NGO (Non-Governmental Organization)
- Nine Bond Rule
- Non Exempt
- Non-Client Order
- Non-Contestability Clause
- Non-Disclosure Agreement - NDA
- Non-Discrimination Rule
- Non-Issuer
- Non-Issuer Distribution
- Non-Renounceable Right
- Notarize
- Notice Of Assessment - NOA
- Notice Of Seizure
- Nuclear Hazards Clause
- NYSE
- Obligation
- Occupational Safety And Health Act
- Oil Pollution Act Of 1990
- Ombudsman
- Omission
- One Man Picture
- One Percent Rule
- One-Third Rule
- Onerous Contract
- Open Kimono
- Opinion Of Title
- Options Backdating
- Options Clearing Corporation
- Oral Contract
- Order Audit Trail System - OATS
- Order Protection Rule
- Ordinary Shares
- Organic Act Of The Department Of Labor
- Partial Release
- Passive Activity Loss Rules
- Patent
- Patent
- Patent Agent
- Patent Attorney
- Patent Cliff
- Patent Pending
- Patent Troll
- PATH Act
- Pathfinder Prospectus
- Pay Czar
- Pay Czar Clause
- Payment Method
- PCI Compliance
- Peer Review
- Peer Review
- Pell Grant
- Penny Stock Reform Act
- Physical-Presence Test
- Piecemeal Opinion
- Piggyback Warrants
- Pink Sheets
- Plaintiff
- Plaintiff
- Plaza Accord
- Positive Authorization
- Positive Confirmation
- Positive Correlation
- Post Date
- Postdated
- Power Of Attorney
- Power Of Attorney Of Property
- Predatory Dumping
- Preemptive Right
- Price Fixing
- Prima Facie
- Prima Facie
- Privileged Communication
- Privity
- Pro-Tanto
- Probable Cause
- Profitability Index Rule
- Promissory Estoppel
- Proxy Statement
- Prudent Expert Act
- Public
- Public Company
- Public Company Accounting Oversight Board - PCAOB
- Pujo Committee
- Punitive Damages
- Qualified Opinion
- Qualified Plan
- Quid Pro Quo
- Quid Pro Quo
- Quiet Filing
- Quiet Period
- Quote Rule
- Quote Stuffing
- Quoted Price
- Reaffirmation
- Reaganomics
- Reaganomics
- Real Bills Doctrine
- Reclamation
- Redacted
- Redlining
- Redlining
- Register
- Register
- Registered Bond
- Registered Bonds
- Registered Form
- Registered Holder
- Registered Investment Advisor - RIA
- Registered Principal
- Registered Representative - RR
- Registered Retirement Income Fund - RRIF
- Registration Statement
- Regression Analysis
- Regular Way
- Regulated Market
- Regulation 9
- Regulation A
- Regulation AA
- Regulation BB
- Regulation C
- Regulation CC
- Regulation D - Reg D
- Regulation DD
- Regulation E
- Regulation F
- Regulation Full Disclosure - Reg FD
- Regulation H
- Regulation I
- Regulation J
- Regulation L
- Regulation M
- Regulation NMS
- Regulation O
- Regulation P
- Regulation R
- Regulation SHO
- Regulation T - Reg T
- Regulation U
- Regulation X
- Regulation Z
- Regulatory Risk
- Renewable Energy Certificate - REC
- Rent Ceiling
- Rent Control
- Rent Expense
- Rent Regulation
- Repudiation
- Repurchase Agreement
- Request For Proposal - RFP
- Request For Quote - RFQ
- Rescission
- Reservation Of Rights Letter
- Respondeat Superior
- Restitution Payments
- Restrictive Covenant
- Retaliatory Eviction
- Retract
- Retract
- Revenue Act Of 1862
- Revlon Rule
- Right Of Egress
- Right-to-Work Law
- Right-to-Work Law
- Robinson-Patman Act
- Rule 10b-18
- Rule 10b5-1
- Rule 144a
- S&L (Savings & Loan)
- S-3 Filing
- S-8 Filing
- Safe Harbor
- Sale
- Sarbanes-Oxley Act Of 2002 - SOX
- Satisfaction And Release
- Section 457 Plan
- Securitized
- Self-Regulatory Organization - SRO
- Selling Away
- Senate Bill
- Separation Of Powers
- Separation Of Powers
- Sequestered Account
- Sequestration
- Settlement Agent
- Shareholders' Agreement
- Shariah-Compliant Funds
- Sharing In Profits/Losses Of Clients
- Shock Absorber
- Shock Therapy
- Shoestring
- Short Side Rule
- Shotgun Clause
- Sight Draft
- Sixteenth Amendment
- Slander
- Slander
- Small Business Administration - SBA
- Small Business Job Protection Act Of 1996
- Smoking Gun
- Soft Dollars
- Soft Inquiry
- Stabilization Policy
- Statute Of Limitations
- Statutory Reserves
- Stipulated Judgment
- Stock Certificate
- Stock Record
- Stop Trading On Congressional Knowledge Act - STOCK Act
- Subpoena
- Subpoena
- Subrogation
- Subscription Agreement
- Sunset Provision
- Surrender Charge
- Surrender Fee
- Surrender Period
- Syndicate Agreement / Syndicate Letter
- Taft-Hartley Act
- Taft-Hartley Act
- Taping Rule
- Tax Anticipation Bill - TAB
- Tax Code
- Tax Court
- Tax Reform Act Of 1993
- Taxpayer Bill Of Rights (TABOR)
- Taxpayer Relief Act Of 1997
- Telecommunications Consumer Protection Act Of 1991 - TCPA
- Tenants-in-Common
- Tendering
- Term Sheet
- The Celler-Kefauver Act
- The Coinage Act Of 1792
- The Jones Act
- The New Deal
- The New Deal
- The Smith Maneuver
- Tick Test Rules
- Timeliness
- Tort Law
- Tortfeasor
- Trade Confirmation
- Trade Sanction
- Trade Secret
- Treble Damages
- Tri-Party Agreement
- Trilateral Commission
- Trumponomics
- Truncation
- Trust Certificate
- Two Dollar Broker
- U.S. Department Of Housing And Urban Development - HUD
- U.S. Department Of Veterans Affairs
- UGMA (Uniform Gift To Minors Act)
- Unauthorized Transactions
- Undue Influence
- Unfair Claims Practice
- Unfair Trade Practice
- Unicameral System
- Uniform Commercial Code
- Uniform Net Capital Rule
- Uniform Prudent Investor Act
- Uniform Securities Act
- Unilateral Contract
- Unintentional Tort
- Unisex Legislation
- United States Department Of Agriculture - USDA
- Universal Basic Income
- Unlimited Liability
- Unqualified Opinion
- Unregistered Shares
- Unsatisfied Judgment Fund
- Unsuitable Recommendations
- Urban Development Act Of 1970
- USA Patriot Act
- USTD (U.S. Treasury Department)
- UTMA (Uniform Trust To Minors Act)
- Veterans Administration
- Void Transaction
- Volcker Rule
- Volunteer Protection Act Of 1997
- Volunteer Protection Laws
- Voyage Policy
- W-2 Form
- W-4 Form
- W-8 Form
- W-9 Form
- Waiting Period
- War Bond
- Warranty Of Title
- Wash Sale
- Wash Trading
- Watchlist
- Water Quality Improvement Act Of 1970
- Water Rights
- Welfare
- Welfare And Pension Plans Disclosure Act (WPPDA)
- Well's Notice
- Whistleblower
- Whitemail
- Whitewash Resolution
- Williams Act
- Willie Sutton Rule
- Withholding Allowance
- Worker Adjustment And Retraining Notification Act – WARN
- Working Reserves
- Working Tax Credit (WTC)
- Workout Agreement
- World Federation Of Stock Exchanges
- World Gold Council - WGC
- Writ
- Writ Of Attachment
- Writ Of Execution
- Writ Of Seizure And Sale
- Wrongful Termination Claim
- York Antwerp Rules
- Z Tranche
- Z-Bond
- Zone Of Possible Agreement
- Zoning Ordinance