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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Securities Enforcement Remedies and Penny Stock Reform Act of 1990
Chief Financial Officer (CFO)
Registered Investment Advisor (RIA)
Fortune 500 company
Office Of Compliance Inspections and Examinations (OCIE)
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Option Holder
clearing account
periodic stock check
scarce currency
market