Securities and Exchange Commission (SEC)
A federal agency charged with providing oversight and enforcement of the securities industry, including responsibility for registering, regulating and overseeing brokerage firms, clearinghouses, and self-regulatory organizations. On the Web at

Browse by Subjects

Related Terms

Options Clearing Corporation
short sale rule
Financial and Operational Combined Uniform Single Report (FOCUS Report)
Maloney Act
Corporate and Criminal Fraud Accountability Act
See All Related Terms »

Popular Terms In Rules and Regulations

half year
registered representative
accounts receivable turnover