Securities & Exchange Commission (SEC)

The financial definition for Securities & Exchange Commission (SEC):

A federal agency that regulates the US financial markets. The SEC also oversees the securities industry and promotes full disclosure in order to protect the investing public against malpractice in the securities markets.

Similar Matches

Commission broker

Commission broker
A broker on the floor of an exchange who acts as agent for a particular brokerage house and buys and sells stocks for the brokerage house on a commission basis.

Commission house

Commission house
A firm that buys and sells futures contracts for customer accounts. Related: futures commission merchant, omnibus account.

Commodity Futures Trading Commission (CFTC)

Commodity Futures Trading Commission (CFTC)
An agency created by the US Congress in 1974 to regulate exchange trading in futures.

Further Suggestions

Federal Maritime Commission (FMC)
Fee and commission compensation
Futures commission merchant (FCM)
Securities and Exchange Commission Rules
Split commission
Underwriting Commission

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