|Securities & Exchange Commission|
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Definition of Securities & Exchange Commission
Securities & Exchange Commission
The SEC is a federal agency that regulates the U.S.financial markets.
The federal agency that
Federal agency responsible for regulation of securities markets in the United
A federal agency that administers securities legislation,
The second-largest stock exchange in the United States. It trades
Bond or note secured by assets of company.
General term for a document demanding payment.
The Treasury and federal agencies are moving to a book-entry system in which securities are not represented by engraved pieces of paper but are maintained in computerized records at the
A not-for-profit corporation owned by its members. Its primary
The fee paid to a broker to execute a trade, based on number of shares, bonds, options, and/or
A broker on the floor of an exchange acts as agent for a particular brokerage house and
A firm which buys and sells future contracts for customer accounts. Related: futures
The location of five New York futures exchanges: Commodity
Convertible preferred stock that may be exchanged, at the
IOUs created through loan-type transactions - commercial paper, bank CDs, bills, bonds, and
Non-interest-bearing money market instruments that are issued at a discount and
Effective Exchange Rate
The weighted average of several exchange rates, where the weights are determined by the extent of our trade done with each country.
Equation of Exchange
The quantity theory equation Mv = PQ.
The marketplace in which shares, options and futures on stocks, bonds, commodities and indices
Governmental restrictions on the purchase of foreign currencies by domestic citizens or
Exchange of assets
Acquisition of another company by purchase of its assets in exchange for cash or stock.
Exchange of stock
Acquisition of another company by purchase of its stock in exchange for cash or shares.
An offer by the firm to give one security, such as a bond or preferred stock, in exchange for
The price of one country's currency expressed in another country's currency.
Amount of one currency needed to purchase one unit of another.
Exchange Rate Mechanism (ERM)
The methodology by which members of the EMS maintain their
Exchange Rate, Nominal
The price of one currency in terms of another, in this book defined as number of units of foreign currency per dollar.
Exchange Rate, Real
The nominal exchange rate corrected for price level differences.
Exchange rate risk
Also called currency risk, the risk of an investment's value changing because of currency
The variability of a firm's value that results from unexpected exchange rate changes or the
Security that grants the security holder the right to exchange the security for the
Instruments exempt from the registration requirements of the securities Act of 1933 or the
expectations theory of exchange rates
Theory that expected spot exchange rate equals the forward rate.
Federal agency securities
securities issued by corporations and agencies created by the U.S. government,
A country's decision to tie the value of its currency to another country's currency, gold
Fixed Exchange Rate
An exchange rate held constant by a government promise to buy or sell dollars at the fixed rate on the foreign exchange market.
Flexible Exchange Rate
An exchange rate whose value is determined by the forces of supply and demand on the foreign exchange market.
Floating exchange rate
A country's decision to allow its currency value to freely change. The currency is not
Floating Exchange Rate
See flexible exchange rate.
Currency from another country.
The currency of a foreign country.
Foreign exchange controls
Various forms of controls imposed by a government on the purchase/sale of
Foreign exchange dealer
A firm or individual that buys foreign exchange from one party and then sells it to
Foreign Exchange Market
A worldwide market in which one country's currency is bought or sold in exchange for another country's currency.
Foreign Exchange Reserves
A fund containing the central bank's holdings of foreign currency or claims thereon.
Foreign exchange risk
The risk that a long or short position in a foreign currency might have to be closed out
Foreign exchange swap
An agreement to exchange stipulated amounts of one currency for another currency
Forward Exchange Market
A market in which foreign exchange can be bought or sold for delivery (and payment) at some specified future date but at a price agreed upon now.
Forward exchange rate
exchange rate fixed today for exchanging currency at some future date.
forward rate of exchange
exchange rate for a forward transaction.
Futures commission merchant
A firm or person engaged in soliciting or accepting and handling orders for
Gold exchange standard
A system of fixing exchange rates adopted in the Bretton Woods agreement. It
Negotiable U.S. Treasury securities.
Historical exchange rate
An accounting term that refers to the exchange rate in effect when an asset or
London International Financial Futures Exchange (LIFFE)
A London exchange where Eurodollar futures
London International Financial Futures Exchange (LIFFE)
London exchange where Eurodollar futures as well as futures-style options are traded.
Manufactured housing securities (MHSs)
Loans on manufactured homes - that is, factory-built or
Medium of Exchange
Any item that can be commonly exchanged for goods and services.
securities backed by a pool of mortgage loans.
Mortgage-Backed Securities Clearing Corporation
A wholly owned subsidiary of the Midwest Stock
New York Stock Exchange (NYSE)
Also known as the Big Board or The Exhange. More than 2,00 common
Nominal exchange rate
The actual foreign exchange quotation in contrast to the real exchange rate that has
A securities marketplace wherein purchasers and sellers regularly gather to trade
A pool of fixed-income securities backed by a package of assets (i.e. mortgages)
Philadelphia Stock Exchange (PHLX)
A securities exchange where American and European foreign
Project loan securities
securities backed by a variety of FHA-insured loan types - primarily multi-family
Public Securities Administration (PSA)
The trade association for primary dealers in U.S. government
Real Exchange Rate
exchange rate adjusted for relative price levels.
Real exchange rates
exchange rates that have been adjusted for the inflation differential between two countries.
Realizable Revenue A revenue transaction where assets received in exchange for goods and
services are readily convertible into known amounts of cash or claims to cash.
A general term for stock, bonds, or other other financial assets.
SIMEX (Singapore International Monetary Exchange)
A leading futures and options exchange in Singapore.
Spot exchange rates
exchange rate on currency for immediate delivery. Related: forward exchange rate.
spot rate of exchange
exchange rate for an immediate transaction.
Formal organizations, approved and regulated by the securities and exchange commission
Stripped mortgage-backed securities (SMBSs)
securities that redistribute the cash flows from the
A nickname for the New York stock exchange. Also known as the Big Board. More than
Also known as the National commission on Fraudulent Financial
securities issued by the U.S. Department of the Treasury.
Abusive Earnings Management
A characterization used by the securities and exchange
Division of Enforcement
A department within the securities and exchange commission that
EBBS - Earnings before the bad stuff
An acronym attributed to a member of the securities and
The securities & exchange commission uses Electronic Data Gathering and Retrieval to transmit
Fraudulent Financial Reporting
Intentional misstatements or omissions of amounts or disclosures
generally accepted accounting principles (GAAP)
This important term
Management/closely held shares
Percentage of shares held by persons closely related to a company, as
The securities and exchange commission, the primary federal regulatory agency of the securities
See securities and exchange commission.
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