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Financial terms in "Patent"


2. certificate of mailing

3. trade dress


5. group

6. Section 8 Declaration of Continued Use

7. PMA

8. PBX

9. PCT


11. JPO

12. express mail mailing label

13. filing receipt

14. AIS

15. publication for opposition

16. Disclosure

17. notice of allowance and fees due

18. assignee

19. PCT Regulations

20. SIRA

21. SOU

22. ESD

23. demand

24. withdrawn claim

25. maintenance fees

26. statement of net cost

27. GAU

28. use in commerce

29. independent claim

30. cancellation proceeding

31. utility patent application

32. PPAC

33. precautionary designation

34. Annex F

35. priority action

36. supplemental register

37. OG - Trademarks

38. common law rights

39. ALC #

40. Trademark Manual of Examining Procedure

41. current filing basis

42. FDC

43. OBI

44. EDS

45. classification

46. continued use

47. disclosure document

48. claims

49. PAC

50. non-final office action (rejection)

51. TTY

52. information disclosure statement (IDS)

53. KSA

54. POIS

55. disclaimer

56. coinventor

57. IDE

58. CD

59. TRIPs

60. APMS

61. TSS

62. kind codes 

63. PTO

64. original application

65. Madrid Protocol

66. RCE

67. Trade Secret

68. examination copy

69. SCP

70. INTA

71. DHCP

72. doctrine of equivalents

73. PDF

74. Design Search Code Manual

75. OIPE

76. representative

77. opposition proceeding

78. BPAI

79. home copy

80. scope

81. nonprovisional patent application

82. JCCT

83. lawyer

84. DNS

85. plant patent

86. par

87. FTAA

88. CPA

89. use-based application

90. Principal Register

91. PALM

92. Group Art Unit

93. copyrights

94. non-responsive amendment

95. assignor

96. IPEA

97. consisting of

98. Trademark Trial and Appeal Board

99. Contracting State

100. transitional phrase

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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. Collateralized Mortgage Obligation (CMO)
2. Fiduciary
3. Consensus Recommendation
4. Hand
5. Fixed Annuity
6. Catch-up Contribution
7. Custodial Account
8. Floating Rate
9. Dollar-weighted Rate Of Return
10. Building Ordinance Coverage

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