Securities Dictionary by Mayer Brown

CAP

Corrective action plan. A plan to correct an operational or organizational weakness identified during a regulatory exam.

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Non-Deal Roadshow

Ineligible Issuer

At-the-Market Offerings

Shadow Banking

Stress Test

Crowdfunding

Funding Portal

Clawback

Testing the Waters

Reverse Merger

Fire Sale

Soft Dollars

Death Spiral

Wall Cross

Naked Short

Lock-Up

Roadshow

Bad Actor

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