disciplinary rule. (often cap.) A mandatory regulation stating the minimum level of professional conduct that a professional must sustain to avoid being subject to disciplinary action. • For lawyers, the disciplinary rules are found chiefly in the Model Code of Professional Responsibility. — Abbr. DR. Cf. ETHICAL CONSIDERATION. [Cases: Licenses 25. C.J.S. Agriculture § 4.5; […]
Cardwell’s Acts 〈英〉《卡德韦尔法》 指1854年的《铁路及运河交通法》〔Railway and Canal Traffic Act〕和1871年《武装力量管理法》〔Regulation of the Forces Act〕。
A dealer registered or required to be registered under the Securities Exchange Act of 1934. [Cases: Securities Regulation 40.10–40.16. C.J.S. Securities Regulation §§ 154–163, 165–168.]
dilution. 1. The act or an instance of diminishing a thing’s strength or lessening its value. 2. Corporations. The reduction in the monetary value or voting power of stock by increasing the total number of outstanding shares. 3. Constitutional law. The limitation of the effectiveness of a particular group’s vote by legislative reapportionment or political
A cooperative association that offers low-interest loans and other consumer banking services to persons sharing a common bond — often fellow employees and their family members. • Most credit unions are regulated by the National Credit Union Administration. State-chartered credit unions are also subject to regulation by the chartering state, and they may be regulated
worship. 1. Any form of religious devotion or service showing reverence for a divine being (freedom of worship). [Cases: Religious Societies 1. C.J.S. Religious Societies §§ 2–5, 7–13.] public worship. 1. Worship conducted by a religious society according to the society’s system of ecclesiastical authority, ritual propriety, and rules and regulations. 2. Worship under public
ignorantia juris non excusat (ig-n[schwa]-ran-shee-[schwa] joor-is non ek-skyoo-sat or -zat). [Latin] Lack of knowledge about a legal requirement or prohibition is never an excuse to a criminal charge. • In English, the idea is commonly rendered ignorance of the law is no excuse. — Often shortened to ignorantia juris. — Also termed ignorantia juris neminem
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An option to buy something (esp. securities) at a fixed price even if the market rises; the right to require another to sell. — Often shortened to call. [Cases: Commodity Futures Trading Regulation 10; Securities Regulation 5.25(3). C.J.S. Securities Regulation §§ 28–29, 455, 470.]
Office of the Comptroller of the Currency. An office in the U.S. Department of the Treasury responsible for regulating approximately 2,600 national banks by examining them; approving or denying applications for bank charters, branches, or mergers; closing banks that fail to follow rules and regulations; and regulating banking practices. — Abbr. OCC.
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market-maker. Securities. One who helps establish a market for securities by reporting bid-and-asked quotations. • A market-maker is typically a specialist permitted to act as a dealer, a dealer acting in the capacity of block positioner, or a dealer who, with respect to a security, routinely enters quotations in an interdealer communication system or otherwise