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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National Securities Markets Improvement Act of 1996 (NSMIA)
anonymous trading
waiting period
short sale rule
Form S-1
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contracting party
concealment of assets
central bank discount rate
time
trade terms