Securities and Exchange Commission

 

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Securities and Exchange Commission

The US federal agency empowered to regulate US financial markets in order to protect investors. All quoted American companies have to comply with SEC rules and regulations, including the filing of quarterly results statements.



Similar Matches

Treasury securities (treasuries)

Treasury securities (treasuries)

Debt obligations issued by the US government and secured by full faith and credit. Income from treasuries is subject to federal tax but not state and local taxes. They fall into three categories, Treasury bills, Treasury bonds and Treasury notes.


Commercial Mortgage Backed Securities

Commercial Mortgage Backed Securities

Similar to MBS but backed by loans secured with commercial rather than residential property. Commercial property includes multi-family, retail, office, etc., They are not standardized so there are a lot of details associated with structure, credit enhancement, diversification, etc., that need to be understood when valuing these instruments.


Inflation indexed securities

Inflation indexed securities

Securities such as bonds or notes that guarantee a return higher than the rate of inflation if the security is held to maturity.


Uniform securities agent state law examination

Uniform securities agent state law examination

A test required in some states for registered representatives who are employees of member firms of the NASD or NASD NASD.


National Association of Securities Dealers Automatic Quotation System (Nasdaq)

National Association of Securities Dealers Automatic Quotation System (Nasdaq)

An electronic quotation system that provides price quotations to market participants about the more actively traded common stock issues in the OTC market. About 4000 common stock issues are included in the Nasdaq system.


Further Suggestions

Japanese Association of Securities Dealers Automated Quotation System (Jasdaq)
National Securities Clearing Corporation (NSCC)
margin securities
Securities Exchange Act of 1934
Securities Masterfile
International Securities Identification Number
Public Securities Administration (PSA)
Original Issue Discount securities (OIDS)
securities
registered securities
National Association of Securities Dealers
unlisted securities market
Securities Industry Association (SIA)
Securities Investor Protection Corporation
US Treasury securities
Book entry securities
agency securities
Securities Industry Committee on Arbitration (SICA)
Certificate of Accrual on Treasury Securities (CATS)
European Association of Securities Dealers Automated Quotation (EASDAQ)
Gilt edged securities
European Association of Securities Dealers Automated Quotation
Agency securities
Restricted Securities
Federal agency securities


 
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