Commodity Futures Trading Commission
Commodity Futures Trading CommissionCreated by the US Congress in 1974 to regulate exchange trading in futures. URL: http://www.cftc.gov
Securities & Exchange Commission (SEC)Securities & Exchange Commission (SEC)
A federal agency that regulates the US financial markets. The SEC also oversees the securities industry and promotes full disclosure in order to protect the investing public against malpractice in the securities markets.
Split commissionSplit commission
A commission shared between a broker and a financial adviser or other professional who brought the customer to the broker.
A percentage of the sale price which the selling party receives. This can be an estate agent in relation to a property, a broker selling you a mortgage or other products and even a dorr to door salesman selling you a nice new set of double glazing.
Underwriting CommissionUnderwriting Commission
The fee investment bankers charge for underwriting a security issue.
International Organization of Securities CommissionersInternational Organization of Securities Commissioners
In the US, this organisation encourages co-operative policies on market regulation, surveillance, and enforcement at the domestic and international levels in order to maintain just and efficient securities markets.
Commodity Futures Trading Commission (CFTC)
Federal Maritime Commission (FMC)
Securities and Exchange Commission Rules
Futures commission merchant (FCM)
Securities and Exchange Commission
Futures Commission Merchant
Fee and commission compensation