Regulatory & Legal

Regulatory & Legal Terms

Regulatory bodies, compliance requirements, and securities law.

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Total terms 7
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Last updated Apr 2026
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Regulatory & Legal

Beneficial Ownership

The natural person who ultimately owns or controls a legal entity or asset, even when nominal ownership is held through shell companies, trusts, or nominees.

Regulatory & Legal

Insider

A person with access to material non-public information about a company, including directors, officers, and large shareholders.

Regulatory & Legal

ISIN

A 12-character alphanumeric code that uniquely identifies securities in international markets, standardizing cross-border trading.

Regulatory & Legal

Market Manipulation

Intentional distortion of a security's price or volume through deceptive practices such as spoofing or pump-and-dump schemes.

Regulatory & Legal

MNPI

Significant, undisclosed company information that would affect the stock price if made public.

Regulatory & Legal

MiFID II

The EU's Markets in Financial Instruments Directive II, governing investment services, transparency, and investor protection across European markets.

Regulatory & Legal

Prospectus

A formal document filed with the SEC that provides details about an investment offering to potential investors.