Since the financial crisis, financial institutions have been required to address significant regulatory changes. The new regulatory framework in the United States and Europe has introduced a series of new terms. This brief glossary is intended to serve as a helpful summary of frequently used terms. It is by no means comprehensive, and should be read with our Dodd-Frank Act, Basel III, EMIR/MiFID resources made available on our website.
- 1933 Act: U.S. Securities Act of 1933, as amended. Also, the Securities Act.
- 1934 Act: U.S. Securities Act of 1934, as amended. Also, the Exchange Act.
- 1940 Act: Investment Company Act of 1940...
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