Glossary of Important Securities Regulation Terms and Definitions (Revision #2)

Adler Pollock & Sheehan P.C.

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles and concepts which underlie securities regulation. The Glossary also may be useful to lawyers who are starting their practice in this area.

The Glossary it is not all inclusive, that is, it does not cover many of the more exotic and not-so exotic terms and definitions which make up securities law. Moreover, given the infinite complexity and evolving nature of federal securities law, the Glossary is a living document in the sense that, as the students move through the course, terms and definitions may need to be added, supplemented or even corrected. In this regard, any corrections or suggestions for improvement are welcomed. The Glossary also goes a step further than most other compendia by providing discussion and analysis which places the term or definition in context. In other words, how the terms relate to a fundamental principle or principles of securities law. In this sense, the Glossary may be redundant of other course materials, but repetition in this area of the law is a good thing...

Please see full Glossary Update below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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