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: Onion trading

In 1955, two onion traders, Sam Seigel and Vincent Kosuga, cornered the onion futures …

Regulation Q: egulation Q was Title 12, part 217 of the United States Code of Federal Regulations.[1] From 1933 until 2011 it prohibited banks from paying interest on demand deposits in accordance with Section 11 of the Glass–Steagall Act (formally the Banking Act of 1…

Call report: All regulated financial institutions in the United States are required to file periodic financial and other information with their respective regulators and other parties. For banks in the U.S., one of the key reports required to be filed is the quarterly…

: Big boy letter

A big boy letter is a pre-sale agreement in connection w…

: blue sky law

A blue sky law is a state law in the United States that …

: SEC Rule 10b-5

SEC Rule 10b-5, codified at 17 C.F.R. 240.10b-5, is one …

: Grain Futures Act

The Grain Futures Act (ch. 369, 42 Stat. 998, 7 U.S.C. …

Securities Act of 1933

Congress enacted the Securities Act of 1933 (the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, or the '33 Act, 48 Stat.…　

: Johnson Act

The Foreign Corrupt Practices Act of 1977 (FCPA) (15 U.S.C. § 78dd-1, et seq.) is a Unite…

: Regulation S-K

Regulation S-K is a prescribed regulation under the US Securities Act of 1933 that lays ou…

: Uniform Securities Act

The Uniform Securities Act (USA) is a model statute designed to guide each state in drafti…

: Thrift Financial Report

This article may require cleanup to meet Wikipedia's quality standards. No cleanup reason …

: CAMEL rating system

The CAMEL ratings system is a method of evaluating the health of credit unions by the Nati…

: Phelan Act of 1920

In United States federal banking legislation, the Phelan Act of 1920, sponsored by Sen. …

Cotton Futures Act

This article does not cite any references or sources. Please help improve this article by adding citations to …　

Future Trading Act

The Future Trading Act of 1921 (ch. 86, 42 Stat. 187) was a United States Act of Congress, approved on August …　

: 2008 Farm Bill logo

The Food, Conservation, and Energy Act of 2008 (Pub.L. 110-234, H.R. 2…

: uptick rule

The uptick rule refers to a trading restriction that disallowed short …

: Finra Rule:CODE OF MEDIATION PROCEDU

Unless otherwise defined in the Code, terms used in the Code and interpretive material, if…

: Finra Rule: UNIFORM PRACTICE CODE

The scope of coverage contained in paragraph (a) of this Rule may be expanded or limited i…

: Finra Rule:GENERAL STANDARDS

The Rules shall be interpreted in light of the purposes sought to be achieved by the Rules…

: Finra Rule: DUTIES AND CONFLICTS

A member, in the conduct of its business, shall observe high standards of commercial honor…

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