- Accredited Investor
- Annuity
- Annuity Switching
- Breakpoint
- CRD - Central Registration Depository
- Final Judgment
- Financial Industry Regulatory Authority
- FINRA
- FINRA Rule 8210
- IARD
- Insider trading
- Investment Adviser's Act of 1940
- Iron Condor
- Material Misrepresentation or Omission
- Parking
- Penny Stock
- Permanent Injunction
- Ponzi Scheme
- Reg D
- Restricted Stock
- Scienter
- SEC
- SEC Rule 10b-5
- Securities Exchange Commission
- Securities Fraud
- SRO - Self Regulatory Authority
- Suitability
- Wells Notice
The Law of the Financial Markets Thursday, July 18, 2019