- Affinity Fraud
- Annuity
- Annuity Switching
- Assets Under Management (AUM)
- AWC
- Blue Sky Law
- Breakpoint
- Call Options
- Call Provision
- Churning
- Class Action
- Common Stock
- Control Person
- Convertible Note
- CRD - Central Registration Depository
- Cryptocurrency
- Disgorgement
- Dodd-Frank
- Final Judgment
- Financial Industry Regulatory Authority
- FINRA Rule 8210
- Forgivable Promissory Note
- Form 10-K
- Form 10-Q
- Formal Order of Investigation
- Form BD
- Form BDW
- Form S-1
- Form U-4
- Form U-5
- Fund of Funds
- Hedge Fund
- IARD
- Insider trading
- Investment Adviser's Act of 1940
- Layering
- Market Maker
- Material Misrepresentation or Omission
- OTC Market
- Outside Business Activity
- Parking
- Penny Stock
- Penny Stock
- Permanent Injunction
- Ponzi Scheme
- Reg D
- Scienter
- SEC
- SEC Rule 10b-5
- Section 17(a) and Rule 17a-3 - Books and Records
- Securities Exchange Commission
- Securities Fraud
- Selling Away
- SRO - Self Regulatory Authority
- Stock
- Stock Broker
- Suitability
- Temporary Restraining Order
- Unauthorized Trading
- Unit Investment Trust (UIT)
- Wells Notice
- Willfully