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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quiet period
Investment Company Amendments Act of 1970
blanket fidelity bond
SEC
fiscal year (FY)
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gross
rough out
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at the money
graduated