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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 MatchesOrganised securities exchangeOrganised securities exchangeA stock exchange where trading of listed securities takes place, such as the New York Stock Exchange. Contrast with 'over the counter trading'. Commercial Mortgage Backed SecuritiesCommercial Mortgage Backed SecuritiesSimilar 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. European Association of Securities Dealers Automated Quotation (EASDAQ)European Association of Securities Dealers Automated Quotation (EASDAQ)European equivalent of Nasdaq. Book entry securitiesBook entry securitiesSystem in which securities are not represented by paper securities but are maintained in computerized records at the securities in the names of member banks, which in turn keep computer records of the securities they own as well as those they are holding for customers. In the case of other securities where a securities has developed, certificates reside in a central securities or by another securities. These securities do not move from holder to holder. Securities Industry Association (SIA)Securities Industry Association (SIA)An association of broker-dealers who sell taxable securities, which lobbies the government, records industry trends, and keeps records of broker profits. Further SuggestionsPIK (Payment in kind) securitiesNational Securities Clearing Corporation Securities Investor Protection Corporation Insider Trading & Securities Fraud Enforcement Act of 1988 (ITSFEA) European Association of Securities Dealers Automated Quotation Original Issue Discount securities (OIDS) Pass through securities Universe of securities Exempt securities Debt securities Gilt edged securities National Association of Securities Dealers Automatic Quotation System (Nasdaq) Marketable securities US Treasury securities Manufactured housing securities (MHS) International Organization of Securities Commissioners Public Securities Administration (PSA) Federal agency securities Stripped mortgage backed securities (SMBS) Restricted Securities Securities and commodities exchanges Long Term Anticipation Securities (LEAPS) Undertakings for Collective Investment in Tradable Securities Mortgage Backed Securities Clearing Corporation (MBSCC) Treasury securities |
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