Securities and Exchange Commission Rules

 

Home
Site Map
Add Term
Search
About Us
Contributors

Securities and Exchange Commission Rules

Rules enacted by the SEC to assist in the regulation of US financial SEC.



Securities and Exchange Commission Rules

Similar Matches

International Organization of Securities Commissioners

International 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.


Commission

Commission

Payment made to a stockbroker when you buy or sell shares. In general, the level of commission you pay will either be a flat fee (possibly going up in stages according to the size of the deal) or a percentage based on the size of the deal.An important determinant of the amount of commission you pay will be the kind of service you get from your broker.Discretionary : the broker has general discretion as to how he manages your portfolioAdvisory: the broker will contact you to suggest changes in the composition of your portfolio, but he does not have the authority to trade on a completely discretionary basis.Execution only: the broker's primary function is to execute the buy/sell instructions which you give him. He does not give advice either proactively or at your request.As a rule, execution only brokers are the cheapest for transaction costs.


Commodity Futures Trading Commission (CFTC)

Commodity Futures Trading Commission (CFTC)

An agency created by the US Congress in 1974 to regulate exchange trading in futures.


Split commission

Split commission

A commission shared between a broker and a financial adviser or other professional who brought the customer to the broker.


Underwriting Commission

Underwriting Commission

The fee investment bankers charge for underwriting a security issue.


Further Suggestions

Commission
Federal Maritime Commission (FMC)
Commission house
Commission
Futures commission merchant (FCM)
Securities and Exchange Commission
Commodity Futures Trading Commission
Securities & Exchange Commission (SEC)
Fee and commission compensation
commission house
Commission broker
Futures Commission Merchant
indemnity commission


 
All rights Reserved. Do not copy without permission.