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Home Dictionary E Exempt Transaction Exempt transactions do not require registration. Exempt securities are in most cases tax free. There are some rules for exempt transactions, such as anti-fraud provisions. 10-K Wrap
September 25, 2022 The 10-K wrapper is part of a larger annual performance document required by the SEC. 10-Q SEC Form
September 25, 2022 Form SEC 10-Q is a comprehensive statement of financial results filed quarterly by all public companies with the Securities and Exchange Commission. 2000 Investor Limit
September 25, 2022 The 2,000 investor limit or rule is a key threshold for private businesses that are unwilling to disclose financial information for public consumption. 500-Shareholder Threshold
September 25, 2022 The 500 shareholder threshold was a rule set by the SEC that required companies to publicly disclose financial statements and other information if they reached 500 or more individual shareholders. 8-K (Form 8K)
September 25, 2022 The US Securities and Exchange Commission requires companies to file a Form 8-K to report significant shareholder related events. Adjudication
September 25, 2022 Litigation is the process by which the judge of the court resolves disputes between two parties. Anti Money Laundering (AML)
September 25, 2022 Efforts to combat money laundering (AML) aim to make it more difficult to hide the proceeds of crime. Anticipatory Breach
September 25, 2022 A pre-emptive breach or repudiation of a contract precedes a failure by one of the parties to fulfill its contractual obligations to the other party. Appellate Courts
September 25, 2022 Courts of Appeal hear and consider appeals in cases that have already been heard and decided in the lower courts. Arbitration
September 25, 2022 Arbitration is not the same as filing an investor complaint. Attorney-in-Fact
September 25, 2022 An actual attorney is a person who is assigned to act on behalf of another person in business, financial or personal matters. Bail Bond
September 25, 2022 A bail signed by the guarantors is paid by the defendant instead of the full payment of the bail established by the court. Bait and Switch
September 25, 2022 Lure and spoofing occurs when a prospective buyer is lured into an advertised deal that appears attractive. Bank Stress Test
September 25, 2022 A bank stress test is an analysis to determine whether a bank has sufficient capital to withstand an economic or financial crisis. Basel Accord
September 25, 2022 The Basel Accords are part of a series of three international banking regulatory meetings that established capital requirements and risk measurements for global banks. Basel II
September 25, 2022 Basel II, the second of the three Basel Accords, has three core principles: minimum capital requirements, regulatory oversight and market discipline. Basel III
September 25, 2022 Basel III is an international regulatory agreement that introduced a series of reforms aimed at improving regulation, supervision and risk management in the banking sector. Bernie Madoff
September 25, 2022 Bernie Madoff was a financial manager responsible for one of the biggest financial scams in modern history. Bilateral Contract
September 25, 2022 A bilateral contract is the most common type of binding agreement that includes concessions or obligations that both parties to the contract have. Black Market
September 25, 2022 An illegal market is an economic activity carried out outside government-sanctioned channels. Black Money
September 25, 2022 Black money includes all funds earned as a result of illegal activities, as well as other legitimate income that is not taken into account for tax purposes. Block Trade
September 25, 2022 A block transaction is a large privately negotiated securities transaction. Blue Sky Laws
September 25, 2022 Blue sky laws are state anti-fraud regulations that require issuers of securities to be registered and disclose the details of their offerings. Boiler Room
September 25, 2022 A boiler room is a scheme in which sellers use high-pressure selling tactics to persuade investors to buy securities, including speculative and fraudulent securities. Boilerplate
September 25, 2022 A standard language is a single text that can be found in various standard documents such as contracts.