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Securities and Futures Authority |
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Securities and Futures AuthorityA Self Regulating Organisation (SRO) with responsibility for the regulation of firms engaged in the securities and futures sectors of the financial services market.Companies regulated by the SFA are those engaged in dealing or advising in securities or derivatives including shares, bonds, traded options, corporate finance and futures. A list of authorised firms is published from time to time by the SFA enabling clients to confirm authenticity.All regulatory functions of the SFA have been taken over by the Financial Services Authority as of December 2001.Similar MatchesDebt securitiesDebt securitiesIOUs created through loan-type transactions-commercial paper, bank CDs, bills, bonds, and other instruments. Insider Trading & Securities Fraud Enforcement Act of 1988 (ITSFEA)Insider Trading & Securities Fraud Enforcement Act of 1988 (ITSFEA)Federal legislation that greatly increased the penalties for trading on material inside information. Fixed income securitiesFixed income securitiesSecurities which pay a fixed rate of interest. Government bonds (gilts) are the best known example. Compared to shares, fixed income securities have the attraction of certainty - you know what income you will get in advance - and they are less risky than shares. But the upside is not as good, and you will never get the really high returns with a bond that you might get with a share that does well. Securities Industry AssociationSecurities Industry AssociationRepresents the collective business interests of more than 500 brokerages and investment banking firms in the US Membership includes most NYSE member organisations, major firms of all US and Canadian exchanges, and the OTC market. Defensive securitiesDefensive securitiesSecurities which are considered to be more stable in price in a market where prices are falling. Further SuggestionsTreasury securities (treasuries)Gilt edged securities Securities Industry Committee on Arbitration (SICA) International Organization of Securities Commissioners Discount securities Treasury securities National Securities Clearing Corporation (NSCC) Uniform securities agent state law examination National Association of Securities Dealers Automatic Quotation System (Nasdaq) National Securities Clearing Corporation Exempt securities unlisted securities market European Association of Securities Dealers Automated Quotation organised securities exchange Public securities offering Securities Masterfile Public Securities Administration (PSA) National Association of Securities Dealers Osaka Securities Exchange (OSE) Securities Industry Automation Corporation Marketable securities Manufactured housing securities (MHS) International Securities Identification Number Original Issue Discount securities (OIDS) Securities Exchange Act of 1934 |
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