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 www.sec.gov.
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closed-end fund
registration statement
Schedule 13D
Electronic Data Gathering Analysis and Retrieval (EDGAR)
Central Registration Depository (CRD)
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trust fund
cost apportionment
Normal Market
delinquency
slush fund