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
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proxy statement
waiting period
Consolidated Tape Plan (CTP)
Securities Enforcement Remedies and Penny Stock Reform Act of 1990
unlisted trade
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certificate of deposit (CD)
joint stock company
Green Paper