Securities Law Definitions

AB C D E F G H IJKL M N O P Q R S T U V W XYZ

Accelerated filer

Accredited investor

Accountant's report

S-X Rule 1-02(a)(1)

Act

Rule 100(a)(2)

ADTV

Affiliate

Affiliate of ... Affiliated with
Rule 144(a)(1)
Rule 405
Regulation D - Rule 501(b)

Rule 12b-2

Affiliated person

Exchange Act § 3(a)(19)

Affiliated purchaser

Agent for service

Rule 100(a)(5) - Securities Act

Aggregate offering price

Regulation D - Rule 501(c)
Regulation D

Alternative trading system

Regulation ATS - Rule 300(a)

Amount

Rule 405

Rule 12b-2

S-X Rule 1-02(c)

Ancillary portfolio management securities activities

Rule 3b-15

Appearing and practicing

Appropriate regulatory agency

Exchange Act § 3(a)(34)

Appropriate response

Part 205 Rule 2(b)

Appropriate state regulatory authority

Sarbanes-Oxley Act §2(a)(1)

Assessable stock

Rule 136

Associate

Rule 405

Attestation report ...

on management's assessment of internal control
over financial reporting
S-X Rule 1-02(a)(2)

on assessment of compliance with servicing criteria for asset-backed securities
S-X Rule 1-02(a)(3)

At-the-market offering

Regulation M - Rule 100(b)

Attorney

Audit

S-X Rule 1-02(d)

Sarbanes-Oxley Act §2(a)(2)

Audit committee

Audit report

Sarbanes-Oxley Act §2(a)(4)

Automatic shelf registration statement

Rule 405

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