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56 relations: Accountant, Act of Congress, Alternative Investment Fund Managers Directive 2011, Auditor, Board of directors, Callable bond, Chicago Stock Exchange, Closed-end fund, Commerce Clause, Commodity Futures Modernization Act of 2000, Commodity Futures Trading Commission, Credit Rating Agency Reform Act, Cross ownership, Dividend, Dodd–Frank Wall Street Reform and Consumer Protection Act, Embezzlement, Face-amount certificate company, Federal law, Fiduciary, Financial regulation, Garn–St. Germain Depository Institutions Act, Gramm–Leach–Bliley Act, Great Depression, Hedge fund, Holding company, Investment Advisers Act of 1940, Investor, Jones v. Harris Associates, Larceny, List of financial regulatory authorities by country, Mutual fund, NASDAQ, New York Stock Exchange, Proxy voting, Regulation D (SEC), Sarbanes–Oxley Act, Securities Act of 1933, Securities Acts Amendments of 1975, Securities commission, Securities Exchange Act of 1934, Securities regulation in the United States, Security (finance), Short (finance), State government, Stock exchange, Stock market, Temporary National Economic Committee, Trust Indenture Act of 1939, Trust law, U.S. Securities and Exchange Commission, ..., Unit investment trust, United States, United States Congress, Voting trust, Wall Street Crash of 1929, Williams Act. Expand index (6 more) »
Accountant
An accountant is a practitioner of accounting or accountancy, which is the measurement, disclosure or provision of assurance about financial information that helps managers, investors, tax authorities and others make decisions about allocating resource(s).
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Act of Congress
An Act of Congress is a statute enacted by the United States Congress.
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Alternative Investment Fund Managers Directive 2011
The Alternative Investment Fund Managers Directive (or "AIFMD" for short) is an EU law on the financial regulation of hedge funds, private equity, real estate funds, and other "Alternative Investment Fund Managers" (AIFMs) in the European Union.
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Auditor
An auditor is a person or a firm appointed by a company to execute an audit.
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Board of directors
A board of directors is a recognized group of people who jointly oversee the activities of an organization, which can be either a for-profit business, nonprofit organization, or a government agency.
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Callable bond
A callable bond (also called redeemable bond) is a type of bond (debt security) that allows the issuer of the bond to retain the privilege of redeeming the bond at some point before the bond reaches its date of maturity.
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Chicago Stock Exchange
The Chicago Stock Exchange (CHX) is a stock exchange in Chicago, Illinois.
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Closed-end fund
A closed-end fund (CEF) or closed-ended fund is a collective investment model based on issuing a fixed number of shares which are not redeemable from the fund.
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Commerce Clause
The Commerce Clause describes an enumerated power listed in the United States Constitution (Article I, Section 8, Clause 3).
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Commodity Futures Modernization Act of 2000
The Commodity Futures Modernization Act of 2000 (CFMA) is United States federal legislation that officially ensured modernized regulation of financial products known as over-the-counter derivatives.
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Commodity Futures Trading Commission
The U.S. Commodity Futures Trading Commission (CFTC) is an independent agency of the US government created in 1974, that regulates futures and option markets.
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Credit Rating Agency Reform Act
The Credit Rating Agency Reform Act is a United States federal law whose goal is to improve ratings quality for the protection of investors and in the public interest by fostering accountability, transparency, and competition in the credit rating agency industry.
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Cross ownership
Cross ownership is a method of reinforcing business relationships by owning stock in the companies with which a given company does business.
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Dividend
A dividend is a payment made by a corporation to its shareholders, usually as a distribution of profits.
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Dodd–Frank Wall Street Reform and Consumer Protection Act
The Dodd–Frank Wall Street Reform and Consumer Protection Act (commonly referred to as Dodd–Frank) was signed into United States federal law by US President Barack Obama on July 21, 2010.
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Embezzlement
Embezzlement is the act of withholding assets for the purpose of conversion (theft) of such assets, by one or more persons to whom the assets were entrusted, either to be held or to be used for specific purposes.
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Face-amount certificate company
A face-amount certificate company is an investment company which offers an investment certificate as defined by the Investment Company Act of 1940.
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Federal law
Federal law is the body of law created by the federal government of a country.
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Fiduciary
A fiduciary is a person who holds a legal or ethical relationship of trust with one or more other parties (person or group of persons).
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Financial regulation
Financial regulation is a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system.
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Garn–St. Germain Depository Institutions Act
The Garn–St Germain Depository Institutions Act of 1982 (enacted October 15, 1982) is an Act of Congress that deregulated savings and loan associations and allowed banks to provide adjustable-rate mortgage loans.
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Gramm–Leach–Bliley Act
The Gramm–Leach–Bliley Act (GLBA), also known as the Financial Services Modernization Act of 1999, is an act of the 106th United States Congress (1999–2001).
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Great Depression
The Great Depression was a severe worldwide economic depression that took place mostly during the 1930s, beginning in the United States.
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Hedge fund
A hedge fund is an investment fund that pools capital from accredited individuals or institutional investors and invests in a variety of assets, often with complex portfolio-construction and risk-management techniques.
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Holding company
A holding company is a company that owns other companies' outstanding stock.
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Investment Advisers Act of 1940
The Investment Advisers Act of 1940, codified at through, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law.
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Investor
An investor is a person that allocates capital with the expectation of a future financial return.
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Jones v. Harris Associates
Jones v. Harris Associates L.P., is a case decided by the United States Supreme Court in which investors claimed that the fees they paid to an investment advisor were too steep, violating the Investment Company Act of 1940.
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Larceny
Larceny is a crime involving the unlawful taking of the personal property of another person or business.
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List of financial regulatory authorities by country
The following is an incomplete list of financial regulatory authorities by country.
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Mutual fund
A mutual fund is a professionally managed investment fund that pools money from many investors to purchase securities.
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NASDAQ
The Nasdaq Stock Market is an American stock exchange.
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New York Stock Exchange
The New York Stock Exchange (abbreviated as NYSE, and nicknamed "The Big Board"), is an American stock exchange located at 11 Wall Street, Lower Manhattan, New York City, New York.
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Proxy voting
Proxy voting is a form of voting whereby a member of a decision-making body may delegate his or her voting power to a representative, to enable a vote in absence.
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Regulation D (SEC)
In the United States under the Securities Act of 1933, any offer to sell securities must either be registered with the United States Securities and Exchange Commission (SEC) or meet certain qualifications to exempt them from such registration.
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Sarbanes–Oxley Act
The Sarbanes–Oxley Act of 2002, also known as the "Public Company Accounting Reform and Investor Protection Act" (in the Senate) and "Corporate and Auditing Accountability, Responsibility, and Transparency Act" (in the House) and more commonly called Sarbanes–Oxley, Sarbox or SOX, is a United States federal law that set new or expanded requirements for all U.S. public company boards, management and public accounting firms.
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Securities Act of 1933
The United States Congress enacted the Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, or the '33 Act, Title I of Pub.
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Securities Acts Amendments of 1975
The Securities Acts Amendments of 1975 is an act of Congress.
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Securities commission
A securities commission is a government department or agency responsible for financial regulation of securities products within a particular country.
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Securities Exchange Act of 1934
The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (codified at et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America.
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Securities regulation in the United States
Securities regulation in the United States is the field of U.S. law that covers transactions and other dealings with securities.
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Security (finance)
A security is a tradable financial asset.
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Short (finance)
In finance, a short sale (also known as a short, shorting, or going short) is the sale of an asset (securities or other financial instrument) that the seller does not own.
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State government
A state government is the government of a country subdivision in a federal form of government, which shares political power with the federal or national government.
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Stock exchange
A stock exchange, securities exchange or bourse, is a facility where stock brokers and traders can buy and sell securities, such as shares of stock and bonds and other financial instruments.
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Stock market
A stock market, equity market or share market is the aggregation of buyers and sellers (a loose network of economic transactions, not a physical facility or discrete entity) of stocks (also called shares), which represent ownership claims on businesses; these may include securities listed on a public stock exchange as well as those only traded privately.
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Temporary National Economic Committee
The Temporary National Economic Committee (TNEC) was established by a joint resolution of the United States Congress on June 16, 1938 and operated until its defunding on April 3, 1941.
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Trust Indenture Act of 1939
The Trust Indenture Act of 1939 (TIA), codified at, supplements the Securities Act of 1933 in the case of the distribution of debt securities in the United States.
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Trust law
A trust is a three-party fiduciary relationship in which the first party, the trustor or settlor, transfers ("settles") a property (often but not necessarily a sum of money) upon the second party (the trustee) for the benefit of the third party, the beneficiary.
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U.S. Securities and Exchange Commission
The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government.
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Unit investment trust
In U.S. financial law, a unit investment trust (UIT) is an exchange-traded mutual fund offering a fixed (unmanaged) portfolio of securities having a definite life.
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United States
The United States of America (USA), commonly known as the United States (U.S.) or America, is a federal republic composed of 50 states, a federal district, five major self-governing territories, and various possessions.
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United States Congress
The United States Congress is the bicameral legislature of the Federal government of the United States.
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Voting trust
A voting trust is an arrangement whereby the shares in a company of one or more shareholders and the voting rights attached thereto are legally transferred to a trustee, usually for a specified period of time (the "trust period").
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Wall Street Crash of 1929
The Wall Street Crash of 1929, also known as Black Tuesday (October 29), the Great Crash, or the Stock Market Crash of 1929, began on October 24, 1929 ("Black Thursday"), and was the most devastating stock market crash in the history of the United States, when taking into consideration the full extent and duration of its after effects.
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Williams Act
The Williams Act (USA) refers to 1968 amendments to the Securities Exchange Act of 1934 enacted in 1968 regarding tender offers.
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Redirects here:
40 Act, ICA 1940, INVESTMENT COMPANY ACT, Investment Company Act, Investment Company Act 1940.
References
[1] https://en.wikipedia.org/wiki/Investment_Company_Act_of_1940
