securities
101Securities Industry Regulatory Authority - SIRA — The former name of a regulatory body consisting of the National Association of Securities Dealers and the New York Stock Exchange Regulation. The Securities Industry Regulatory Authority was formed to govern business practices between securities… …
102Securities Investor Protection Corporation - SIPC — A nonprofit corporation created by an act of Congress to protect the clients of brokerage firms that are forced into bankruptcy. Members to the SIPC include all brokers and dealers registered under the Securities Exchange Act of 1934, all members …
103Securities Lending — The act of loaning a stock, derivative, other security to an investor or firm. Securities lending requires the borrower to put up collateral, whether cash, security or a letter of credit. When a security is loaned, the title and the ownership is… …
104Securities Act of 1933 — Federal law which provides for registration of securities which are to be sold to the public and for complete information as to the issuer and the stock offering. 15 U.S.C.A. No. 77a et seq. See also registration of securities Securities Exchange …
105Securities and Exchange Commission — Emblem der SEC Die United States Securities and Exchange Commission (SEC) ist für die Kontrolle des Wertpapierhandels in den Vereinigten Staaten zuständig. Ihr Sitz ist in Washington D.C. Die SEC wurde als Reaktion auf den Börsenkrach von 1929 im …
106Securities and Exchange Commission — (abbr the SEC) an independent US government organization responsible for controlling the financial markets and making sure that people and companies that deal on the stock exchange do not break the law. It investigates complaints and can take… …
107Securities and Exchange Commission (SEC) — U.S. regulatory commission established by Congress in 1934. Its purpose was to restore investor confidence by ending the misleading sales practices and stock manipulations that had led to the stock market s 1929 collapse (see Stock Market Crash… …
108Securities Transfer Association Medallion Program - STAMP — A verification system used by many different institutions to authorize and guarantee the individual signatures applied to securities requiring transfers. This is the authentication benchmark used by the securities industry when making transfers …
109Securities analysts — Related:financial analysts Securitization The process of creating a passthrough, such as the mortgage pass through security, by which the pooled assets become standard securities backed by those assets. Also, refers to the replacement of… …
110Securities and Exchange Act Section 17(f) — A legal provision that requires investigations for possible lost or stolen securities. See Securities Information Center. American Banker Glossary …
