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Securities and Exchange Commission Rules |
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Securities and Exchange Commission RulesRules enacted by the SEC to assist in the regulation of US financial SEC.Securities and Exchange Commission Rules Similar MatchesCommodity Futures Trading Commission (CFTC)Commodity Futures Trading Commission (CFTC)An agency created by the US Congress in 1974 to regulate exchange trading in futures. 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'. Futures Commission MerchantFutures Commission MerchantIn the US, an individual or organisation accepting orders to buy or sell futures contracts or futures options, and accepting payment for his services. FCMs must be registered with the CFTC and the NFA. Federal Maritime Commission (FMC)Federal Maritime Commission (FMC)A U.S. government agency that regulates and administers the shipping industry. This agency also grants freight forwarder licenses. 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. Further SuggestionsCommissionSecurities & Exchange Commission (SEC) Futures commission merchant (FCM) Commission Underwriting Commission Commission house Securities and Exchange Commission Commodity Futures Trading Commission Split commission commission house Commission broker commission Fee and commission compensation |
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