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Securities & Exchange Commission (SEC) |
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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.Securities & Exchange Commission (SEC) Similar MatchesCommission brokerCommission brokerA broker on the floor of an exchange who acts as agent for a particular brokerage house and buys and sells stocks for the brokerage house on a commission basis. International Organization of Securities CommissionersInternational Organization of Securities CommissionersIn 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. Underwriting CommissionUnderwriting CommissionThe fee investment bankers charge for underwriting a security issue. Indemnity commissionIndemnity commissionWhere a life company pays commission to an agent, the company does so on the proviso it will be entitled to take back some or all of the commission if the policy is cancelled within a given period. Also known as 'clawback'. CommissionCommissionA 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. Further SuggestionsCommission houseFutures Commission Merchant Securities and Exchange Commission Rules Futures commission merchant (FCM) Federal Maritime Commission (FMC) Commodity Futures Trading Commission (CFTC) Commodity Futures Trading Commission commission Securities and Exchange Commission Commission Split commission commission house Fee and commission compensation |
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