Adherence to laws, regulations, guidelines, and specifications relevant to a business or entity.
A comprehensive overview of the Reserve Bank of India (RBI), its functions, responsibilities, historical context, and role in regulating the NDS platform.
An in-depth examination of restrictive practices, their impact on market competition and labor efficiency, historical context, key events, and examples.
An in-depth examination of Recognized Professional Bodies, their role, significance, and related terms.
An in-depth look at Savings and Loan Holding Companies (SLHCs), their history, types, importance, and their role in the financial industry.
Comprehensive overview of the U.S. Securities and Exchange Commission (SEC), its roles, responsibilities, and impact on securities markets.
An annual filing with the SEC for disclosing any transactions that were not reported during the year concerning changes in beneficial ownership.
An in-depth guide to SEC Regulation, its purpose, historical context, types, and implications.
The Securities and Investment Board (SIB) was a regulatory authority established to supervise and monitor the UK financial markets, aiming to prevent fraud and insider dealing.
An in-depth overview of Securities Law, including its historical context, key events, and detailed explanations.
Selective Disclosure refers to the illegal practice where Material Non-Public Information (MNPI) is disclosed to selected individuals before being made available to the general public. This article explores the historical context, importance, implications, and regulatory measures surrounding Selective Disclosure.
An in-depth look at Self-Regulatory Organizations (SROs) including their definition, examples, historical context, and impact on the financial and other industries.
Shadow Banking refers to financial activities conducted by non-bank financial institutions that resemble traditional banking but occur outside standard regulatory frameworks.
An in-depth look into the practice of shareholder disclosure, its importance in financial markets, and its regulatory framework.
An in-depth exploration of sheltered monopolies, their historical context, types, key events, models, importance, and real-world examples.
Acceptable levels of behavior or achievement established by authority, custom, or consent.
State Boards of Accountancy are regulatory bodies at the state level responsible for licensing and overseeing accounting professionals, ensuring public trust through adherence to rigorous standards.
An in-depth look into the practice of stock watering, its history, types, key events, and implications.
A comprehensive overview of Tax Havens, including historical context, types, key events, detailed explanations, and more.
An in-depth look at 'Too Big to Fail' (TBTF) institutions, their significance, historical context, implications, and examples in the financial industry.
Transfer pricing refers to the prices of goods and services provided by one part of an organization to another, especially across international borders. This guide explores its importance, historical context, and methodologies, while examining key considerations and regulatory aspects.
Explore TRID, a regulatory framework that merges the disclosure requirements of the Truth in Lending Act (TILA) and the Real Estate Settlement Procedures Act (RESPA). Understand its importance, structure, applicability, and impact on the real estate and mortgage industries.
A comprehensive explanation of 'Vested Right,' covering its definition, significance, examples, historical context, and related terms.
The White Market comprises officially regulated trading channels recognized by legal and governmental bodies, where goods and services are exchanged within the boundaries of the law.
The Credit Card Accountability, Responsibility, and Disclosure (CARD) Act of 2009 is legislation aimed at protecting consumers from unfair and deceptive practices by credit card companies, including unjust fees and interest rate increases.
Churning refers to the practice of excessive trading by a broker in a client’s account mainly to generate commissions that benefit the broker, often at the client's expense. This practice is illegal and clients may seek recovery of damages.
A Command Economy is an economic system where supply and price are regulated by a central authority, exemplified by communist economies. Learn about its characteristics, historical context, and comparisons with other economic systems.
Comprehensive overview of the Commodities Futures Trading Commission, its regulatory function, historical context, applicability, related terms, and FAQs.
A comprehensive guide to understanding Credit Unions—a not-for-profit financial institution offering a full range of financial services.
Economic freedom refers to the absence of excessive regulation and external control in economic affairs, promoting efficient resource allocation in a capitalist system.
The Fair Rate of Return is a level of profit that a public utility is allowed to earn as determined by federal and/or state regulators. It ensures that utilities can maintain service, pay dividends, and invest in infrastructure.
An overview of the Food and Drug Administration, focusing on its roles, responsibilities, structure, history, and significance in public health and safety.
The Federal Aviation Administration (FAA) is an agency of the U.S. Department of Transportation charged with regulating air commerce, promoting aviation safety, and overseeing the operation of airports, including air traffic control.
Detailed explanation of the Federal Trade Commission (FTC), its role in maintaining free enterprise and competition, and its historical significance.
Detailed insight into the financial and ethical commitments governments undertake including bonds, policies, and regulatory compliance.
A grandfather clause is a provision in a new rule that exempts individuals or businesses already engaged in the regulated activity from adhering to the new regulation.
A comprehensive analysis of imposition, covering its dual meanings of excessive demands and the levying of taxes or fines, with examples and context.
An industrial standard is a generally accepted requirement to be met for the attainment of a recurrent industrial objective, such as standardized tire sizes in the automotive industry.
Comprehensive overview of the Investment Advisers Act of 1940, which requires all investment advisers to register with the SEC to prevent fraud and misrepresentation.
The Investment Company Act of 1940 is a U.S. legislation that mandates the registration and regulation of investment companies by the Securities and Exchange Commission (SEC). It sets forth the guidelines by which mutual funds and other investment companies operate.
An in-depth exploration of License Laws that govern various licensed occupations, including their definitions, types, examples, historical context, significance, and related concepts.
Comprehensive coverage of the National Association of Securities Dealers (NASD), its evolution into FINRA, historical context, functions, and relevance in the financial industry.
Congressional pension reform legislation designed to encourage individual retirement savings and enforce stricter regulation on employer-funded plans, also affecting charitable contributions, long-term care, college savings plans, and assistance for employees with 403(b) and 401(k) plans.
A comprehensive overview of public utilities, their nature as natural monopolies, government regulations, and the evolving landscape of deregulation and competition.
A Publicly Held Corporation, also known as a publicly traded company, is a corporation that has its common stock registered on a national stock exchange. This detailed entry explores its characteristics, types, advantages, regulations, and more.
Regulations are rules used to carry out a law and the act of administering those laws. Many government agencies prepare regulations to ensure laws are implemented effectively.
A comprehensive explanation of Regulatory Agencies, their functions, types, examples, historical context, applicability, related terms, and FAQs.
The role and significance of Safety Commissions in promoting and supervising safety practices within organizations, distinguishing between public and private sector functions.
An in-depth analysis of the Securities Act of 1933, detailing its importance as the first federal legislation to regulate securities markets in the United States, its requirements for registration and disclosure, and its anti-fraud provisions.
The SEC is a U.S. federal agency tasked with regulating securities markets, preventing unfair practices, and maintaining market integrity for investors.
An in-depth exploration of taxes, including their types, historical context, applicability, and the impact on societal infrastructure and governance.
In-depth exploration of Treasury Decision (T.D.), its historical context, applications, and relevance in finance and government regulations.
Explore the 500 shareholder threshold rule by the SEC, its evolution over time, and its implications for public reporting requirements of a company, with a focus on the updated threshold of 2,000 shareholders.
A comprehensive guide to understanding what a bank holding company is, how it operates, its significance in the banking industry, and its regulatory considerations.
A comprehensive guide to understanding broker-dealers (B-D), their roles, how they operate, and the regulations governing them in the U.S. securities market.
An in-depth understanding of financial securities, including their types, examples, regulatory frameworks, and significance in the financial markets.
Detailed exploration of market manipulation, including its definition, methods, types, and examples, as well as historical context, regulatory considerations, and related terms.
An in-depth exploration of Monopoly, including its definition, types, regulatory frameworks, and its effects on market dynamics.
The National Securities Markets Improvement Act of 1996 (NSMIA) simplified U.S. securities regulation by centralizing regulatory authority and reducing duplicative state-level oversight.
Understanding the concept of natural monopolies: their definitions, operational mechanisms, various types, and illustrative examples from real-world scenarios.
An in-depth exploration of negative feedback, including its definition, mechanism, and implications in various systems.
Explore the concept of price ceilings, their effects, types, and implementation in economics. Understand the economic rationale, historical context, and implications on markets and consumers.
An in-depth explanation of Revenue Cap Regulation, including its definition, how it functions, and an analysis of its benefits and drawbacks.
Comprehensive overview of the Gramm-Leach-Bliley Act of 1999 (GLBA), including its purpose, key provisions, implications on the financial services industry, and historical context under President Bill Clinton.
An exploration of tZero, a technology company leveraging blockchain in private capital markets, connecting startups with private equity, and navigating regulatory landscapes.
This article delves into the workings of the Real Estate Settlement Procedures Act (RESPA), elucidating how it provides consumers with improved disclosures of settlement costs and eliminates abusive practices in the real estate industry.
An in-depth exploration of the Welfare and Pension Plans Disclosure Act (WPPDA), a pivotal 1950s law that gave the U.S. government authority to regulate employee benefits at private companies, including its historical context, significance, and long-term effects.
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.
