Compliance

Enterprise Risk Management (ERM): Comprehensive Guide and Implementation Strategies
A thorough exploration of Enterprise Risk Management (ERM), covering its principles, methodologies, benefits, and implementation strategies for organizations to assess and mitigate risks effectively.
Financial Industry Regulatory Authority (FINRA): Comprehensive Definition and Importance
Explore the detailed definition, roles, and significance of the Financial Industry Regulatory Authority (FINRA), a nongovernmental organization that writes and enforces rules for brokers and broker-dealers.
Foreign Account Tax Compliance Act (FATCA): Comprehensive Definition and Regulatory Framework
An in-depth exploration of the Foreign Account Tax Compliance Act (FATCA), providing a comprehensive understanding of its definition, rules, and regulatory framework for U.S. citizens with foreign account holdings.
General Order (GO): Managing Imports with Incomplete Documentation
An in-depth exploration of General Order (GO) for imports that lack complete documentation, including the procedures, implications, and solutions for handling such shipments at customs.
Gray List: Definition, Functionality, and Confidentiality
A comprehensive guide to understanding the Gray List, its role in investment banking, how it functions, and the confidentiality protocols associated with it.
Governance, Risk Management, and Compliance (GRC): A Comprehensive Guide
Explore the intricate aspects of Governance, Risk Management, and Compliance (GRC) in corporate management. Understand how these key elements integrate across departments to enhance organizational effectiveness and integrity.
Gun-Jumping: Understanding, Mechanisms, and Prevention
An in-depth exploration of gun-jumping in financial markets: its definition, how it operates, preventive measures, historical context, and related regulations.
Know Your Client (KYC): Definition, Compliance Requirements, & Best Practices
Know Your Client (KYC) standards are essential in the investment services industry for verifying customer identities and understanding their risk and financial profiles. Learn about KYC procedures, compliance requirements, and best practices.
Loophole: Legal Workarounds and Avoidance Mechanisms
An in-depth look at how loopholes allow individuals and businesses to navigate and sometimes exploit the legal system without directly breaking the law.
National Securities Markets Improvement Act (NSMIA): Streamlining U.S. Securities Regulation
The National Securities Markets Improvement Act of 1996 (NSMIA) simplified U.S. securities regulation by centralizing regulatory authority and reducing duplicative state-level oversight.
Office of Foreign Assets Control (OFAC): Role, Sanctions, and Enforcement
An in-depth overview of the Office of Foreign Assets Control (OFAC), its role within the U.S. Treasury, and its enforcement of sanctions against nations, groups, and individuals.
Order Audit Trail System (OATS): Definition and Example
An in-depth exploration of the Order Audit Trail System (OATS), its purpose in recording orders, quotes, and related trade information for NMS stocks in the United States, and an illustrative example.
Regulation SHO: Definition, Regulation Scope, and Compliance Requirements
An in-depth exploration of Regulation SHO, which governs short sale practices through SEC regulations. Understand its definition, the activities it regulates, and the specific compliance requirements involved.
Restatement in Accounting: Definition, Legal Requirements, and Examples
A comprehensive guide to restatements in accounting, covering the definition, legal requirements, and examples of restating financial statements to correct errors and their impact on a company's bottom line.
Safe Harbor: Definition, Types, and Applications
Explore the legal provision of Safe Harbor, its various types, and practical applications in reducing liability under specific conditions.
SEC Form 3: Definition, Filing Requirements, and Regulatory Importance
An in-depth guide to SEC Form 3, including its definition, when to file, and key requirements. Learn about its role in regulating insider trading.
SEC Form ADV: Definition, Requirements, and Filing Process
A comprehensive guide to SEC Form ADV, covering its definition, the requirements for submission, and a detailed filing process for professional investment advisers.
SEC Regulation D (Reg D): Definition, Requirements, Advantages, and More
A comprehensive guide to SEC Regulation D, covering its definition, requirements, advantages, historical context, and more. Learn how smaller companies can sell securities without registering with the SEC.
SEC Rule 10b-18: Definition, Compliance, and Safe Harbor for Stock Repurchases
Understanding SEC Rule 10b-18, which provides a safe harbor for companies and affiliated purchasers during stock repurchases, including definitions, compliance requirements, applicability, and examples.
SEC Rule 10b5-1: Definition, Mechanism, and Compliance Requirements
A comprehensive overview of SEC Rule 10b5-1, exploring its definition, how it works, and the SEC requirements it entails for public companies' officers and directors to transparently execute stock trades and avoid insider trading accusations.
SEC Rule 144: Definition, Holding Periods, and Compliance Requirements
Comprehensive overview of SEC Rule 144, including definitions, holding periods, compliance requirements, and implications for the resale of restricted or unregistered securities.
Self-Regulatory Organizations (SROs): Definition, Examples, and Impact
Exploration of Self-Regulatory Organizations (SROs), their definitions, historical context, examples, impact on industries, compliance, and related concepts.
Tax Table: Comprehensive Definition and Usage Guide
An in-depth guide to understanding tax tables, their structure, and application in various taxation systems. Learn how tax tables determine tax liabilities and their importance in compliance.
Use Tax: Definition, Purpose, and Examples
An in-depth look at use tax, a form of sales tax imposed on items used within a state when no tax was collected at the point of purchase. Discover its purpose, how it works, and practical examples.
Wildcatting: Definition and Industry Impact
Wildcatting refers to a practice by the SEC where it reviews an entire industry when issues are identified with one member firm. Learn about its significance, processes, and effects on market regulation.

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