securities
121Securities and Futures Authority Ltd — SFA The Self Regulating Organization formed from the merger of The Securities Association Ltd (TSA) and the Association of Futures Brokers and Dealers Ltd (AFBD) in April 1991. It was responsible for regulating the conduct of brokers and dealers… …
122Securities and Exchange Commission — SEC A US government agency established in 1934 to protect investors by regulating behaviour in the securities markets. Each year the SEC brings between 400 500 civil enforcement actions against individuals and companies that break the securities… …
123Securities and Futures Authority Ltd — SFA The Self Regulating Organization formed from the merger of The Securities Association Ltd (TSA) and the Association of Futures Brokers and Dealers Ltd (AFBD) in April 1991. It was responsible for regulating the conduct of brokers and dealers… …
124Securities And Exchange Commission — (SEC) Established under the Securities and Exchange Act of 1934 as part of the New Deal program to stabilize financial institutions, the SEC was an independent regulatory agency created to enforce the federal securities laws and license and… …
125Securities and Exchange Commission — The federal agency which administers such laws as the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Public Utility Holding Company Act of 1935, the Investment Adviser s Act of 1940 and the… …
126securities exchanges — Markets for the purchase and sale of traditional securities at which brokers for purchasers and sellers may affect transactions. The best known and largest securities exchange is the New York Stock Exchange …
127securities offering — See issue (securities) offering registration of securities underwrite …
128Securities and Exchange Commission — An agency provided by the Federal Securities Exchange Act, invested with powers and duties in the administration and enforcement of the Federal Securities Exchange Act. 50 Am J1st Stock Ex § 15 …