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Compliance Dictionary

Financial reporting related enforcement actions concerning civil lawsuits brought by the Commission in federal court and notices and orders concerning the institution and/or settlement of administrative proceedings

Term used by the SEC under Regulation D to refer to investors who are financially sophisticated and have a reduced need for the protection provided by certain government filings.

Legal status of person or entity that cannot repay the debts it owes to creditors. 

The measurement of performance against “best practice” standards.

Law enacted in 2003 that sets the rules for commercial email, establishes requirements for commercial messages, gives recipients the right to have you stop emailing them, and lists penalties for violations.