Glossary of Important Securities Regulation Terms and Definitions

• Published date: 20 August 2015
• Law Firm: Adler Pollock & Sheehan P.C.
• Author: Andrew Spacone
• Subject Matter: Accredited Investors,Acquisitions,Asset-Backed Securities,Blue Sky Laws,Bonds,Brokers,Capital Markets,Compliance,Corporate Governance,Crowdfunding,D&O Insurance,Dark Pool,Dealers,Debt,Debt Securities,Derivative Suit,Derivatives,Disclosure,Dividends,Dodd-Frank,Dow Jones,Emerging Growth Companies,Equity Securities,Financial Statements,Form D Filing,GAAP,Glass-Steagall Act,Gun-Jumping,Hedge Funds,High-Speed Trading,Insider Trading,Institutional Investors,Internal Controls,Interstate Commerce,Investment Adviser,Investment Companies,Issuers,JOBS Act,Junk Debt,Liquidity,Margin Calls,Margin Requirements,Mergers,Nasdaq,No-Action Letters,Offers,Popular,Preferred Shares,Private Offerings,Private Placements,Prospectus,Proxy Statements,PSLRA,Public Offerings,Publicly-Traded Companies,Puffery,Rating Agencies,Recapitalization,Registration Statement,Regulation A,Regulation D,Regulation FD,Restricted Stocks,Safe Harbors,Sarbanes-Oxley,SEC,Section 10(b)-5,Securities,Shareholder Activism,Shareholder Litigation,Shareholders,SLUSA,Stock Exchange,Tender Offers,Underwriting,Venture Capital,Wall Street Journal,Wells Notice,Whistleblowers