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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 MatchesFederal 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. 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. Futures commission merchant (FCM)Futures commission merchant (FCM)A firm or person engaged in soliciting or accepting and handling orders for the purchase or sale of futures contracts, subject to the rules of a futures exchange and, who, in connection with such solicitation or acceptance of orders, accepts any money or securities to provide margin for any resulting trades or contracts. The FCM must be licensed by the CFTC. Related: Commission house, omnibus account. Commission houseCommission houseAnother term used to describe brokerage firms because they earn their living by charging commissions. Commission 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. Further SuggestionsUnderwriting CommissionCommission house Fee and commission compensation indemnity commission Securities and Exchange Commission Securities & Exchange Commission (SEC) Commodity Futures Trading Commission Commission Commodity Futures Trading Commission (CFTC) Commission Split commission International Organization of Securities Commissioners commission |
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