regulation
11Regulation T — / tē/ n: a regulation of the Board of Governors of the Federal Reserve System regulating the extension of credit by and to securities brokers and dealers and imposing initial margin requirements and payment rules on securities transactions… …
12Regulation D — / dē/ n: a regulation of the Securities and Exchange Commission governing the limited offer and sale (as by a private offering) of unregistered securities Merriam Webster’s Dictionary of Law. Merriam Webster. 1996. Regulation D …
13Regulation — (Ausgleichung, Regelung) bezeichnet: einen Regelungsmechanismus bei der Keimentwicklung: Regulation (Entwicklungsbiologie) Regelung innerhalb eines Organismus, z. B. durch Hormone: Regulation (Physiologie) Steuerung menschlichen Handelns in… …
14Regulation FD — The Regulation on Fair Disclosure adopted by the US Securities and Exchange Commission (SEC) in August 2000. Regulation FD came into effect on 23 October 2000. It prohibits issuers and persons acting on their behalf from selectively disclosing… …
15Regulation S — of the US Securities Act of 1933. It provides a safe harbour from the registration requirements of that Act for offers and sales of securities outside the US where certain conditions are fulfilled. It imposes different conditions depending on the …
16Regulation R — implements provisions of the Gramm Leach Bliley Act of 1999 regarding banks that are also involved in securities activities. Regulation R details exceptions for banks from the definition of broker and dealer. Activities of banks that fall outside …
17Regulation — Reg u*la tion ( l? sh?n), n. 1. The act of regulating, or the state of being regulated. [1913 Webster] The temper and regulation of our own minds. Macaulay. [1913 Webster] 2. A rule or order prescribed for management or government; prescription;… …
18Regulation AC — USA Regulation AC of the Securities Act requires that brokers, dealers, and certain persons associated with a broker or dealer include in research reports certifications by research analysts that the views expressed in the report accurately… …
19Regulation W — USA The Federal Reserve Board regulation that implements Sections 23A and 23B of the Federal Reserve Act. Regulation W establishes the restrictions and requirements applicable to transactions between a member bank and its affiliates (12 C.F.R. pt …
20Regulation J — / jā/ n: a regulation of the Board of Governors of the Federal Reserve System governing the collection of checks and other cash and noncash items and the handling of returned checks by Federal Reserve banks Merriam Webster’s Dictionary of Law.… …
