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Compliance

The state of being in accordance with the relevant Federal or regional authorities and their requirements. In the context of financial services, the most important 

Compliance

 rules come from the securities and Exchange 

Commission

. Most large financial services companies have 

Compliance

 teams whose role is to take an independent stance in making sure that the company is following all the necessary rules and regulations.



Related Terms: 13

Commission

,

Compliance

,

Dependent

,

Exchange

,

ECU

,

Fed

,

FIN

,

Heir

,

Import

,

Low

,

Region

,

SEC

,

Securities and Exchange Commission


Other Related Pages:

Category: Trading


Starting With: C


Semi Related Terms: 510  CLICK HERE TO VIEW

10-Q

,

10-K

,

1035 exchange

,

52-week low

,

30-day wash rule

,

Accredited Personal Financial Planning Specialist

,

Accrual of discount

,

American Stock Exchange

,

Amortization of premium

,

At par

,

All or any part

,

At best

,

At call

,

All-risks coverage

,

At risk

,

Add-on service

,

Abstract of title

,

Action to quiet title

,

As is

,

Assignment to creditors

,

Attorney in fact

,

Applicable federal rate

,

Assignment of mortgage

,

A shares

,

At the money

,

Across the board

,

Additional paid-in capital

,

Against the box

,

At the bell

,

At the close

,

At the figure

,

At the full

,

At the market

,

At the opening order

,

Automated Pricing and Reporting System

,

Away from the market

,

Below the line

,

Books of final entry

,

Books of original entry

,

Bank holding company

,

Banking Act of 1933

,

Bid-to-cover ratio

,

Bureau of Public Debt

,

Best-execution requirement

,

Brought over the wall

,

Buying on margin

,

Buy on close

,

Buy on opening

,

Buy the book

,

Balance of payments

,

Board of Governors

,

Breaking the syndicate

,

Bill of exchange

,

Bill of sale

,

Breach of trust

,

By the book

,

Business finance companies

,

Back-end load

,

B shares

,

Buy and write

,

Breadth-of-market theory

,

Beat the gun

,

Combined financial statement

,

Consolidated financial statement

,

Cost Of Goods Sold

,

Cost of sales

,

Commission

,

Certificate of Participation

,

Committee on Uniform Securities Identification Procedures

,

Code of procedure

,

Commission house

,

Compliance

,

Compliance department

,

Customer protection rule

,

Chicago Mercantile Exchange

,

Capitalization of income

,

Cost of Living Adjustment

,

Cost-of-living index

,

Council of Economic Advisers

,

Cash and carry trade

,

Chasing the market

,

Cheapest to deliver

,

Chicago Board of Trade

,

Commodities Exchange Act

,

Commodities Exchange Center

,

Commodity Exchange

,

Commodity Futures Trading Commission

,

Cost-of-living rider

,

Certificate of stock

,

Chicago Board Options Exchange

,

Cost of carry

,

Certificate of title

,

Cancellation of debt

,

Certificate of Claim

,

Closed-end credit

,

Cost of debt capital

,

Cost of funds

,

Controlled company

,

Closed-end fund

,

Closed-end investment company

,

C shares

,

Class of options

,

Close to the money

,

Certificate of Occupancy

,

Cloud on title

,

Cash or Deferred Arrangement

,

Class A Shares

,

Class B Shares

,

Crash of 1929

,

Crash of 1987

,

Child and dependent care credit

,

Coefficient of determination

,

Cup and handle

,

Certificate of delivery

,

Close a position

,

Cornering the market

,

Curbs in

,

Debt service coverage

,

Deposit in transit

,

Date of issue

,

Date of payment

,

Drawn securities

,

Division of Enforcement

,

Division of Investment Management

,

Division of Market Regulation

,

Date of record

,

Dividend in arrears

,

Dividend requirement

,

Desk (the)

,

Division of labor

,

De-escalation clause

,

De facto

,

Durable Power of Attorney

,

Date of maturity

,

Debtor in possession

,

Debtor-in-possession financing

,

Debt service

,

Deed of Release

,

Deed of Trust

,

Discharge of bankruptcy

,

Discharge of lien

,

Due-on-sale clause

,

Deep in the money

,

Deep out of the money

,

Deed of Surrender

,

Department of Housing and Urban Development

,

Dogs of the Dow

,

Dependent

,

Daily low

,

Depth of market

,

Eurodollar certificate of deposit

,

Escrowed to maturity

,

Exchange

,

Ex-legal

,

Either-or order

,

Exchange seat

,

ECU

,

Exchange rate

,

E-mini

,

Exchange against actuals

,

Exchange for futures

,

Exchange for physical

,

Exchange of spot

,

Exchange versus cash

,

Ex-pit transaction

,

Export-Import Bank

,

Eligibility requirements

,

Ex-all

,

Exchange ratio

,

Exchange fund

,

Exchange privilege

,

Exchange-traded option

,

Ex-warrants

,

Employee Retirement Income Security Act of 1974

,

Ex-rights

,

Ex-rights date

,

Exchange distribution

,

Financial Accounting Standards Board

,

Financial asset

,

Financial capital

,

Financial statement

,

First In First Out

,

Form 10-Q

,

Federal Deposit Insurance Corporation

,

Federal funds

,

Federal Savings and Loan Association

,

Fed funds

,

Financial institution

,

Federal Home Loan Mortgage Corporation

,

Federal National Mortgage Association

,

Federal Reserve Note

,

Financial instrument

,

Flight to quality

,

Flow of funds

,

Federal Call

,

Fill or kill

,

Financial analyst

,

Front-ending an order

,

Full-service brokerage

,

Floating exchange rate

,

Foreign exchange

,

Foreign exchange rate

,

Forward exchange rate

,

Forward P/E

,

Factors of production

,

Favorable balance of trade

,

Fed

,

Fed bias

,

Fed Chairman

,

Federal Reserve Bank

,

Federal Reserve Board

,

Federal Reserve Discount Rate

,

Federal Reserve requirement

,

Federal Trade Commission

,

Fed pass

,

Financial futures

,

Fee-for-service

,

Front-end load

,

Form 8-K

,

Form S-1

,

Friends and family offering

,

Federal Housing Administration

,

Finance company

,

Financial risk

,

Full faith and credit

,

Family of funds

,

Financial advisor

,

Fund of funds

,

Free and clear

,

Federal Insurance Contributions Act

,

Free right of exchange

,

Federal ID Number

,

Federal Tax Identification Number

,

Federal tax lien

,

FIN

,

Government securities

,

Government Securities Clearing Corporation

,

General Securities Representative Examination

,

G-7

,

General Agreement on Tariffs and Trade

,

G-8

,

Growth and income fund

,

Gather in the stops

,

Hart-Scott-Rodino Act of 1976

,

Hit the bid

,

House of issue

,

Hang Seng Index

,

Health Insurance Portability and Accountability Act

,

Holding company

,

Heir

,

Holder in due course

,

Hang out loan

,

Home equity line of credit

,

Head and shoulders

,

High-low index

,

Hammering the market

,

Held at the opening

,

Holding the market

,

In escrow

,

International Securities Identification Number

,

Independent broker

,

In-house

,

Investment Advisor Act of 1940

,

Investment Company Act of 1940

,

In line

,

Import

,

Independent agent

,

Insider Trading sanctions Act of 1984

,

Internal Rate of Return

,

Indication of interest

,

In intestacy

,

In play

,

In-process research and development

,

Investment company

,

I/O strip

,

In-service withdrawal

,

Income exclusion rule

,

Imbalance of orders

,

In and out

,

In sympathy

,

In the tank

,

Jointly and severally

,

Jumping the gun

,

Joint and several liability

,

Joint and survivor annuity

,

Joint Stock Company

,

Last In First Out

,

Lender of last resort

,

Law of one price

,

Lending at a rate

,

Limit-on-close order

,

Law of demand

,

Law of supply

,

London International Financial Futures and Options Exchange

,

Limited company

,

Long-Term Equity Anticipation Securities

,

Letter of comment

,

Line of credit

,

Loan-to-cost

,

Loan-to-value

,

Lock-in

,

Large cap

,

Leading the market

,

Listing requirements

,

Like-kind exchange

,

Limited Liability Company

,

Locked in

,

Long-term gain or loss

,

Level I quotes

,

Low

,

Mutual company

,

Make a market

,

Market on close order

,

Mark-to-market

,

Multiple Listing Service

,

Medium of exchange

,

Marginal propensity to consume

,

Most distant month

,

Making delivery

,

Money at call

,

Management company

,

Marketable securities

,

Most active

,

Non-financial asset

,

Negotiable certificate of deposit

,

Negotiable Order of Withdrawal

,

New York Stock Exchange

,

Nine-Bond Rule

,

Notice of Sale

,

NASD Regulation

,

National Association of Securities Dealers

,

National Association of Securities Dealers Automated Quotations system

,

National Securities Clearing Corporation

,

National Securities Trade Association

,

New York Futures Exchange

,

Null and void

,

Notice of Default

,

National Association of Real Estate Investment Trusts

,

Net change

,

Off the books

,

Office of Thrift Supervision

,

Out-of-favor

,

Over-the-Counter

,

On-floor order

,

On margin

,

Or better

,

Offshore company

,

One-share one-vote rule

,

Opinion of title

,

On account

,

On-the-spot loan

,

Open-end credit

,

Open-end mortgage

,

Open-end fund

,

Open-end management company

,

Out of the money

,

Open-end lease

,

Old age, survivors, and disability insurance

,

On-balance volume

,

On close

,

On open

,

On the opening

,

Option exchange

,

Pooling of interests

,

Profit and loss statement

,

Payment-in-kind security

,

Price Value of a Basis Point

,

Public Securities Association

,

P&L

,

Public company

,

Power of Attorney

,

Prioritization of debt

,

Paid-in capital

,

Paid-in surplus

,

Private company

,

Private Investment in Public Equity

,

Preservation of capital

,

Point-and-figure chart

,

Painting the tape

,

Plus tick rule

,

Primary exchange

,

Reports and Records

,

Return of capital

,

Return on Capital

,

Return on Invested Capital

,

Return on Total Assets

,

Regional bank

,

Regulation Q

,

Reserve requirement

,

Rating service

,

Reading the tape

,

Regulation D

,

Regulation G

,

Regulation T

,

Regulation U

,

Round of funding

,

Rule 10b-6

,

Rule 15c3-1

,

Rule 19c3

,

Rule 405

,

Rule 415

,

Rules of Fair Practice

,

Rate of exchange

,

Reciprocal of European terms

,

Regulated investment company

,

Region

,

Regional fund

,

Registered Company

,

Regulation A

,

Reverse Take-Over

,

Right of first refusal

,

Right of rescission

,

Right to Know

,

Regulation Z

,

Revolving line of credit

,

Right of recourse

,

Rule of 78

,

Right of redemption

,

Retirement Equity Act of 1984

,

Regulation FD

,

Return on Capital Employed

,

Rate of return

,

Real rate of return

,

Regional exchange

,

Rule 13d

,

SEC filing

,

Selling, General and Administrative Expenses

,

SG&A

,

Savings and Loan

,

Sight letter of credit

,

S&L

,

State bank

,

SEC

,

Securities and Exchange Commission

,

SEC fee

,

Securities analyst

,

Securities Industry Association

,

Securities Investor Protection Corporation

,

Securities loan

,

Segregation of securities

,

Sell the book

,

Split commission

,

Suitability Rules

,

Standard of living

,

Second-to-die insurance

,

Stock life insurance company

,

Stock exchange

,

Statute of Limitations

,

Sale and leaseback

,

Satisfaction of debt

,

Securities lending

,

Staggered board of directors

,

Selling the spread

,

Selling short against the box

,

Shorting against the box

,

Short sale rule

,

S Corporation

,

Short-term gain or loss

,

Subchapter M

,

Subchapter S Corporation

,

Schedule C

,

Securities Act of 1933

,

Securities Acts Amendments of 1975

,

Securities Exchange Act of 1934

,

Securities fraud

,

Seek a market

,

Short swing rules

,

S&P phenomenon

,

Stop and reverse

,

T-Bill

,

Term to maturity

,

Take a position

,

Trailing P/E

,

Take delivery

,

Tenancy by the entirety

,

Trust company

,

Truth in Lending

,

Tenancy at will

,

Title company

,

Top hat plan

,

The Street

,

Timing the market

,

Taxpayer Relief Act of 1997

,

Tax Reform Act of 1986

,

Tax Reform Act of 1993

,

Take a bath

,

Take profits

,

U.S. Government Agency Security

,

U.S. Savings Bond

,

U.S. Treasury

,

U.S. Treasury Bill

,

U.S. Treasury Bond

,

U.S. Treasury Note

,

U.S. Treasury Securities

,

Uniform Securities Act

,

Unit of trade

,

Unit of trading

,

With interest

,

Waiver of premium

,

Widow-and-orphan stock

,

W-2 Form

,

Wash sale rule

,

W formation

,

When, as, and if issued

,

X or XD

,

Year-To-Date

,

Yield to call

,

Yield to maturity

,

Yield to worst

,

Y shares


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