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Compliance department

The department within a 

Brokerage

 or stock 

Exchange

 that oversees 

Trading

 and other activities to ensure that 

SEC

 regulations are being adhered to. also called 

Compliance

 unit.



Related Terms: 9

Broker

,

Brokerage

,

Call

,

Compliance

,

Exchange

,

SEC

,

Stock exchange

,

Trading

,

Unit


Other Related Pages:

Category: Brokerages


Starting With: C


Semi Related Terms: 444  CLICK HERE TO VIEW

10-K

,

1035 exchange

,

19c3 stock

,

Annuity unit

,

Above par

,

American Stock Exchange

,

At par

,

All or any part

,

At best

,

At call

,

Adjustable rate preferred stock

,

All-risks coverage

,

At risk

,

Add-on service

,

Action to quiet title

,

Assignment to creditors

,

Attorney in fact

,

A shares

,

At the money

,

Accumulation unit

,

Age-weighted plan

,

Across the board

,

Additional paid-in capital

,

Ad valorem

,

After-hours trading

,

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

,

Banking Act of 1933

,

Bank Trust Department

,

Below par

,

Bid-to-cover ratio

,

Broker

,

Brokerage

,

Brokerage firm

,

Brokerage house

,

Broker loan

,

Brought over the wall

,

Buying on margin

,

Buy on close

,

Buy on opening

,

Buy the book

,

Basis trading

,

Breaking the syndicate

,

Bill of exchange

,

By the book

,

Broker loan rate

,

B shares

,

Buy and write

,

Borrowed stock

,

Beat the gun

,

Call

,

Call date

,

Called away

,

Called bond

,

Call price

,

Call protection

,

Call risk

,

Committee on Uniform Securities Identification Procedures

,

Common stock equivalent

,

Call money rate

,

Compliance

,

Compliance department

,

Contra broker

,

Contract broker

,

Chicago Mercantile Exchange

,

Cyclical stock

,

Cash and carry trade

,

Certificated stock

,

Chasing the market

,

Cheapest to deliver

,

Commodities Exchange Act

,

Commodities Exchange Center

,

Commodity Exchange

,

Commodity Futures Trading Commission

,

Commodity Trading Advisor

,

Callable stock

,

Certificate of stock

,

Chicago Board Options Exchange

,

Consumer stock

,

Control stock

,

C shares

,

Call option

,

Call ratio backspread

,

Call swaption

,

Close to the money

,

Covered call

,

Cloud on title

,

Cash or Deferred Arrangement

,

Class A Shares

,

Class B Shares

,

Child and dependent care credit

,

Cup and handle

,

Close a position

,

Cornering the market

,

Curbs in

,

Deposit in transit

,

Deep discount broker

,

Discount broker

,

Division of Market Regulation

,

Dividend in arrears

,

Desk (the)

,

Daily trading limit

,

Deal stock

,

Defensive stock

,

Distribution stock

,

Donated stock

,

De-escalation clause

,

De facto

,

Debtor in possession

,

Debtor-in-possession financing

,

Due-on-sale clause

,

Deep in the money

,

Deep out of the money

,

Department of Housing and Urban Development

,

Dirty stock

,

Dogs of the Dow

,

Escrowed to maturity

,

Exchange

,

Ex-legal

,

Either-or order

,

Exchange seat

,

European Currency Unit

,

Exchange rate

,

Effective par

,

Edge Act

,

E-mini

,

Exchange against actuals

,

Exchange for futures

,

Exchange for physical

,

Exchange of spot

,

Exchange versus cash

,

Ex-pit transaction

,

Employee Stock Purchase Plan

,

Employee stock repurchase agreement

,

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

,

First In First Out

,

Federal Savings and Loan Association

,

First call date

,

Flight to quality

,

Federal Call

,

Fill or kill

,

Floor broker

,

Front-ending an order

,

Full-service brokerage

,

Floating exchange rate

,

Foreign exchange

,

Foreign exchange rate

,

Forward exchange rate

,

Forward P/E

,

First preferred stock

,

Form 8-K

,

Form S-1

,

Full stock

,

Friends and family offering

,

Fair Credit Reporting Act

,

Fair Debt Collection Practices Act

,

Full faith and credit

,

Free and clear

,

Federal Insurance Contributions Act

,

Free right of exchange

,

Glass-Steagall Act

,

Growth stock

,

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 call

,

Hang Seng Index

,

Health Insurance Portability and Accountability Act

,

High-tech stock

,

Holder in due course

,

Hang out loan

,

Home Mortgage Disclosure Act

,

Head and shoulders

,

Hammering the market

,

Held at the opening

,

Historical trading range

,

Holding the market

,

In escrow

,

Independent broker

,

In-house

,

Institutional brokerage

,

Introducing broker

,

Investment Advisor Act of 1940

,

Investment Company Act of 1940

,

Income stock

,

In line

,

Insurance broker

,

Insider trading

,

Insider Trading sanctions Act of 1984

,

In intestacy

,

In play

,

In-process research and development

,

I/O strip

,

In-service withdrawal

,

In and out

,

In sympathy

,

Intermarket Trading System

,

In the tank

,

Jointly and severally

,

Jumping the gun

,

Joint and several liability

,

Joint and survivor annuity

,

Joint Stock Company

,

Last In First Out

,

Lending at a rate

,

Limit-on-close order

,

Last trading day

,

London International Financial Futures and Options Exchange

,

Loan stock

,

Legal age

,

Loan-to-cost

,

Loan-to-value

,

Lock-in

,

Leading the market

,

Like-kind exchange

,

Locked in

,

Long-term gain or loss

,

Level I quotes

,

Matrix trading

,

Maintenance call

,

Make a market

,

Margin call

,

Market on close order

,

Mark-to-market

,

Medium of exchange

,

Marginal propensity to consume

,

Marginable stock

,

Money at call

,

Mortgage broker

,

New York Stock Exchange

,

NASD Regulation

,

New York Futures Exchange

,

Nonvoting stock

,

Null and void

,

Naked call

,

Non-qualified stock option

,

Non-statutory stock option

,

Normal retirement age

,

No-load stock

,

Net change

,

Off the books

,

Other current assets

,

Other long term liabilities

,

Over-the-Counter

,

On-floor order

,

Online broker

,

On margin

,

Or better

,

Outside broker

,

Other income

,

Optionable stock

,

Original issue stock

,

On account

,

On-the-spot loan

,

Out of the money

,

Old age, survivors, and disability insurance

,

On-balance volume

,

On close

,

On open

,

On the opening

,

Option exchange

,

Profit and loss statement

,

Par bond

,

Payment-in-kind security

,

Premium over bond value

,

Premium over conversion value

,

Price Value of a Basis Point

,

Provisional call feature

,

Prime broker

,

Prime brokerage

,

Preferred stock

,

Prior preferred stock

,

P&L

,

Pour-over will

,

Prudent Expert Act

,

Paid-in capital

,

Paid-in surplus

,

Private Investment in Public Equity

,

Program trading

,

Point-and-figure chart

,

Painting the tape

,

Paper trading

,

Primary exchange

,

Put/call ratio

,

Reports and Records

,

Return on Capital

,

Return on Invested Capital

,

Return on Total Assets

,

Regulation Q

,

Reading the tape

,

Regulation D

,

Regulation G

,

Regulation T

,

Regulation U

,

Research department

,

Retail brokerage

,

Rate of exchange

,

Restricted stock

,

Red herring

,

Regulation A

,

Reverse Take-Over

,

Right to Know

,

Regulation Z

,

Roll over

,

Real estate broker

,

Retirement Equity Act of 1984

,

Regulation FD

,

Return on Capital Employed

,

Regional exchange

,

SEC filing

,

Selling, General and Administrative Expenses

,

SG&A

,

Savings and Loan

,

S&L

,

Stock association

,

SEC

,

Securities and Exchange Commission

,

Series EE bond

,

Stock buyback

,

SEC fee

,

Sell the book

,

Specialist unit

,

Stock loan

,

Street broker

,

Second preferred stock

,

Stock dividend

,

Single stock futures

,

Spot trading

,

Second-to-die insurance

,

Stock life insurance company

,

Secondary stock

,

Stock bonus plan

,

Stock certificate

,

Stock Clearing Corporation

,

Stock consolidation

,

Stock exchange

,

Stock index

,

Stock market

,

Stock option

,

Stock option plan

,

Stock power

,

Stock screening

,

Stock swap

,

Stock symbol

,

Stock ticker

,

Sale and leaseback

,

Stock fund

,

Selling the spread

,

Synthetic stock

,

Stock list

,

Story stock

,

Selling short against the box

,

Shorting against the box

,

S Corporation

,

Short-term gain or loss

,

Subchapter M

,

Subchapter S Corporation

,

Schedule C

,

Securities Act of 1933

,

Securities Exchange Act of 1934

,

Seek a market

,

S&P phenomenon

,

Stop and reverse

,

Surveillance department

,

Suspended trading

,

T-Bill

,

Term to maturity

,

Trading

,

Take a position

,

Trading authorization

,

Trailing P/E

,

Trading range

,

Treasury Stock

,

Tenancy by the entirety

,

Truth in Lending

,

Tenancy at will

,

Top hat plan

,

The Street

,

Timing the market

,

Taxpayer Relief Act of 1997

,

Tax Reform Act of 1986

,

Tax Reform Act of 1993

,

Trading profit

,

Trading Index

,

Take a bath

,

Thin market

,

Trading costs

,

Trading curb

,

Trading floor

,

Trading halt

,

Trading session

,

Trading volume

,

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

,

Unit

,

Uniform Securities Act

,

Unlisted trading

,

Uncovered call

,

Unit Investment Trust

,

Unit Trust

,

Unit of trade

,

Unit of trading

,

Value stock

,

Vetoing stock

,

Voting stock

,

With interest

,

Williams Act

,

Watered stock

,

Widow-and-orphan stock

,

W-2 Form

,

W formation

,

When, as, and if issued

,

X or XD

,

Year-over-year

,

Year-To-Date

,

Yield to call

,

Yield to maturity

,

Yield to worst


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