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

Additional Related Terms: 10-K, 1035 exchange, 19c3 stock, Annuity unit, Above par, American Stock Exchange, At par, All or any part, At best, At call