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Division of Market Regulation

A department within the 

SEC

 which regulates brokers and 

Brokerage

 firms.



Related Terms: 4

Broker

,

Brokerage

,

Brokerage firm

,

SEC


Other Related Pages:

Category: Brokerages


Starting With: D


Semi Related Terms: 202  CLICK HERE TO VIEW

10-K

,

Above par

,

At par

,

All or any part

,

At best

,

At call

,

At risk

,

Attorney in fact

,

A shares

,

At the money

,

Age-weighted plan

,

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

,

Bank Trust Department

,

Below par

,

Broker

,

Brokerage

,

Brokerage firm

,

Brokerage house

,

Broker loan

,

Brought over the wall

,

Buy the book

,

Breaking the syndicate

,

By the book

,

Broker loan rate

,

B shares

,

Buy and write

,

Beat the gun

,

Clearing firm

,

Compliance department

,

Contra broker

,

Contract broker

,

Cash and carry trade

,

Chasing the market

,

C shares

,

Close to the money

,

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

,

Dividend in arrears

,

Desk (the)

,

De-escalation clause

,

De facto

,

Debtor in possession

,

Debtor-in-possession financing

,

Deep in the money

,

Deep out of the money

,

Department of Housing and Urban Development

,

Dogs of the Dow

,

Effective par

,

E-mini

,

First In First Out

,

Federal Savings and Loan Association

,

Firm quotation

,

Floor broker

,

Front-ending an order

,

Full-service brokerage

,

Forward P/E

,

Form 8-K

,

Form S-1

,

Firm commitment offering

,

Friends and family offering

,

Firm commitment lending

,

Full faith and credit

,

Free and clear

,

G-7

,

General Agreement on Tariffs and Trade

,

G-8

,

Growth and income fund

,

Gather in the stops

,

Hit the bid

,

Health Insurance Portability and Accountability Act

,

Holder in due course

,

Head and shoulders

,

Hammering the market

,

Held at the opening

,

Holding the market

,

In escrow

,

Independent broker

,

In-house

,

Institutional brokerage

,

Introducing broker

,

In line

,

Insurance broker

,

In intestacy

,

In play

,

In-process research and development

,

I/O strip

,

In-service withdrawal

,

In and out

,

In sympathy

,

In the tank

,

Jointly and severally

,

Jumping the gun

,

Joint and several liability

,

Joint and survivor annuity

,

Last In First Out

,

Lending at a rate

,

London International Financial Futures and Options Exchange

,

Legal age

,

Lock-in

,

Leading the market

,

Locked in

,

Level I quotes

,

Make a market

,

Member firm

,

Money at call

,

Mortgage broker

,

Nonmember firm

,

Null and void

,

Normal retirement age

,

Off the books

,

Over-the-Counter

,

Online broker

,

Outside broker

,

On-the-spot loan

,

Out of the money

,

Old age, survivors, and disability insurance

,

On the opening

,

Profit and loss statement

,

Par bond

,

Payment-in-kind security

,

Price Value of a Basis Point

,

Prime broker

,

Prime brokerage

,

P&L

,

Paid-in capital

,

Paid-in surplus

,

Private Investment in Public Equity

,

Point-and-figure chart

,

Painting the tape

,

Reports and Records

,

Reading the tape

,

Regulation D

,

Regulation G

,

Regulation T

,

Regulation U

,

Research department

,

Retail brokerage

,

Regulation A

,

Real estate broker

,

SEC filing

,

Selling, General and Administrative Expenses

,

SG&A

,

Savings and Loan

,

S&L

,

SEC

,

Securities and Exchange Commission

,

SEC fee

,

Sell the book

,

Street broker

,

Sale and leaseback

,

Selling the spread

,

Selling short against the box

,

Shorting against the box

,

S Corporation

,

Subchapter M

,

Subchapter S Corporation

,

Schedule C

,

Seek a market

,

S&P phenomenon

,

Stop and reverse

,

Surveillance department

,

T-Bill

,

Take a position

,

Trailing P/E

,

Tenancy by the entirety

,

Truth in Lending

,

Tenancy at will

,

The Street

,

Timing the market

,

Take a bath

,

Thin market

,

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

,

With interest

,

Widow-and-orphan stock

,

W-2 Form

,

W formation

,

When, as, and if issued


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