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Financial terms starting with "0-9"

1. 8-k

2. 501-(C)(3) bond

3. 125% loan

4. 1120-X Form

5. 1.4142

6. 529 Plan

7. 403(b)

8. 1120-F Form Schedule H

9. 100% mortgage

10. 2k

11. 10-K wrap

12. 1080p

13. 360 Degree Feedback

14. 1120-FSC Form Schedule P

15. 940 Form

16. 1040-ES (NR) Form

17. 183-day rule

18. 3-2-1 buydown

19. 1040 Form Schedule C

20. 1040 Form Schedule F

21. 1098-C Form

22. 30-Year Treasury

23. 13

24. 24-hour banking

25. 100% equities strategy

26. 1120 Form Schedule H

27. 1120-POL Form

28. 1099-PATR Form

29. 1040 form

30. 1120-PC Form

31. 51% attack

32. 1120 Form Schedule PH

33. 1098-T Form

34. 1120-IC-DISC Form Schedule K

35. 720p

36. 80/20 Rule

37. 2-1 buydown

38. 360 Degree Thinking

39. 3-6-3 rule

40. 529 Savings Plan

41. 24-hour trading

42. 1040 Form Schedule D-1

43. 1040EZ Form

44. 144 stock

45. 1099-MISC Form

46. 1040 Form Schedule E

47. 1099-DIV Form

48. 130-30 strategy

49. 1120-F Form Schedule M-1, M-2

50. 401(k)/403(b) loan

51. 1040-NR-EZ Form

52. 40-Year Mortgage

53. 1040 Form Schedule A

54. 457 plan

55. 200-day moving average

56. 10-K

57. 408(k) plan

58. 1040 Form Schedule M

59. 1120 Form Schedule D

60. 1040-ES Form

61. 401(k)

62. 1040 Form Schedule J

63. 1040-NR Form

64. 1099-G Form

65. 1120 Form Schedule N

66. 1120-ND Form

67. 1120-F Form Schedule I

68. 60-plus delinquency

69. 1099-B Form

70. 1099-C Form

71. 52-week high

72. 1098-E Form

73. 1099-S Form

74. 1120-F Form

75. 1/f Noise

76. 130/30 Mutual Fund

77. 3/2 Downpayment

78. 412(i) plan

79. 1120-F Form Schedule M-3

80. 457

81. 80/10/10, 80/15/5, and 80/20/0 loan plans

82. 30-day Wash Sale Rule

83. 1040-V Form

84. 3.95% ARM

85. 1120-FSC Form

86. 940-B Form

87. 3C1

88. 1040 Form Schedule B

89. 1120 Form Schedule G

90. 1120-H Form

91. 1120 Form Schedule UTP

92. 8(a) firm

93. 1 Month Option ARM

94. 1913 Federal Reserve Act

95. 1099 B

96. 1040-SS Form

97. 90/10 strategy

98. 1031 tax-free exchange

99. 1040-x

100. 341 meeting

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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. SIMPLE
2. Gramm-Leach-Bliley Act
3. Family Of Funds
4. Risk Manager
5. Synthetic Investment
6. Roth 401(k)
7. Systematic Withdrawal
8. No-load Mutual Fund
9. Section 8 Declaration Of Excusable Nonuse
10. Highest And Best Use

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