| 1. | Sanctions | A formal way to put pressure on someone or a some group in order to bring about compliance with the law or some rule. For example - economic santions are restrictions upon international trade and fina… 0.3 KB |
| 2. | Sarbanes Oxley | Sarbanes-Oxley is a US law passed in 2002. It was sponsored by US Senator Paul Sarbanes and US Representative Michael Oxley. The law was passed in response to a number of major corporate and accountin… 0.7 KB |
| 3. | SEC | Securities and Exchange Commission See also: Securities and Exchange Commission |
| 4. | Secretary of Labor | The Secretary of Labor us head of the United States Department of Labor which regulates Labor/management relationships and working conditions for employees. The Secretary is a member of the President'… 0.3 KB |
| 5. | Secretary of the Treasury | U.S. government executive department established in 1789. Advises the president on fiscal policy and acts as fiscal agent for the federal government. Oversees the IRS, Currency, U.S. mint, etc. collec… 0.5 KB |
| 6. | Securities | Investment instruments such as shares of stock or bonds issued by a corporation which offers evidence that the investor has a share in ownership of the corporation (stock) or that money is owed to the… 0.2 KB |
| 7. | Securities Act of 1933 | Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives: 1) require that investors receive financial and other significant information concerning secu… 0.9 KB |
| 8. | Securities Analyst | An analyst is an employee of a financial services company - bank, brokerage firm, financial adviser, mutual fund, etc. who studies companies and makes investment (but and sell) recommendations. The Sa… 0.6 KB |
| 9. | Securities Exchange Act of 1934 | With this Act, Congress created the Securities and Exchange Commission. The Act empowers the SEC with broad authority over all aspects of the securities industry. This includes the power to register, … 1.5 KB |
| 10. | Securities Laws | Those laws such as the Securities and Exchanges Acts of 1933 and 1934 that govern the buying and selling of securities in the U.S. |
| 11. | Securities and Exchange Commission | Federal Agency that is responsible for regulating the securites markets. The primary mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors and maintain the integrity of … 0.3 KB |
| 12. | Self-regulatory Organization | A non-government organization which has statutory responsibility to regulate its own members through the adoption and enforcement of rules of conduct for fair, ethical and efficient practices. Example… See also: SRO 0.3 KB |
| 13. | Senate | The upper house of the United States Congress. Two senators are elected from each state, regardless of state population, guaranteeing each state equal representation. Senators are elected for six-year… 0.8 KB |
| 14. | Sentencing Reform Act | Act passed in 1984 that set guidelines for sentencing those found guilty of violating federal law. U.S. Sentencing Commission |
| 15. | Shareholder | A shareholder (stockholder) is a person who owns shares of stock in a corporation or mutual fund. In the case of corporations, the shareholder has a right to a share of any declared dividends as well … 0.4 KB |
| 16. | SRO | Self-Regulatory Organization. Non-government organization which has statutory responsibility to regulate its own members through the adoption and enforcement of rules of conduct for fair, ethical and … 0.5 KB |
| 17. | Statute of Limitations | A law that sets a time limit on when legal action can be taken. |
| 18. | Statutory | Pertaining to a law enacted by the legislative branch of a government |
| 19. | Stay of Sanctions | A stopping or suspension of sanctions by judicial or executive order. |
| 20. | Support Fees - Accounting | The fees that must be paid by U.S. public corporations to support the activities of the Public Company Accounting Oversight Board. PCAOB - Accounting Support Fees |
Top 10 
Feedback