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Financial terms in "Investing and Trading"

1. pattern day trader

2. FDI

3. European best bid and offer (EBBO)

4. Auction market

5. Carryover

6. Deliverable Stocks

7. Reply

8. scale order

9. Bombay Stock Exchange

10. Chicago Board of Trade

11. Prospectus

12. competitive

13. high-yield investment program (HYIP)

14. Averaging

15. Naked option

16. Nfx

17. tax loss harvesting

18. stripped stock

19. New York Mercantile Exchange (NYMEX)

20. Kcbot

21. away from the market

22. overstay

23. paper trading

24. Price-book ratio

25. Chicago Stock Exchange

26. Maturity

27. Versus Cash

28. Broker-dealer

29. Acquired Fund Fees And Expenses (AFFE)

30. direct market access

31. market thrust

32. requote

33. Option series

34. Test

35. quadruple witching hour

36. Net change

37. Pre-Market

38. share split

39. market center

40. Short interest

41. convertible preferred stock

42. Option premium

43. Dividend rights

44. Tenbagger

45. periodic payment plan certificate

46. lows

47. Stutzer index

48. blue collar trader

49. contramarket

50. Bond indenture

51. Optimal portfolio

52. market inefficiency

53. bill-and-hold basis

54. Compound option

55. wallflower

56. currency day trading system

57. buy the book

58. Floor Broker (fb)

59. activity

60. session

61. basket of USD shorts

62. option strategy

63. non-security

64. active investing

65. Countercyclical stock

66. triple top

67. cross-currency transaction

68. Bulldog bond

69. Issued share capital

70. NASD Dispute Resolution, Inc.

71. Paid-up Share capital

72. limited discretion

73. deal blotter

74. Form 3

75. Broker

76. panic selling

77. Approved Delivery Facility

78. balanced investment strategy

79. Point And Figure Charts

80. before the bell

81. Systematic risk

82. buy stops above

83. selling climax

84. Block Order

85. Announcement date

86. in and out

87. extended hours trading

88. realized

89. sophisticated investor

90. year-end price

91. expiration Friday

92. 30-day wash rule

93. offeror

94. Straits Times Industrial Index

95. Duration

96. EPS

97. Outstanding share capital

98. Income Fund

99. upstairs trade

100. Bond fund

Note: Maximum 100 records reached. Please narrow your search.

Featured term of the day

Definition / Meaning of

Office Of Compliance Inspections And Examinations (OCIE)

Categories: Estate Planning, Brokerages,

The Office of Compliance Inspections and Examinations ("OCIE") protects investors through administering the SEC's nationwide examination and inspection program. Examiners in Washington DC and in the Commission's 11 regional offices conduct examinations of the nation's registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, the national securities exchanges, clearing agencies, the nationally recognized statistical rating organizations ("NRSRO"s), SROs such as the financial industry regulatory authority ("FINRA") and the municipal securities rulemaking board, and the public company accounting oversight board ("PCAOB"). OCIE's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities market(s) generally.

Most popular terms

1. Margin Clause
2. Contractors All Risks (CAR) Insurance
3. Competence
4. Retaliation Claims
5. Consensus Recommendation
6. Jumbo CD
7. Cash Balance Pension Plans
8. Quarter
9. McDonough Ratio
10. Homeowner's Insurance

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