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compliance department

 - 2 dictionary results
AT&T Pharmaceuticals
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att.com/enterprise
Dun & Bradstreet
Regulatory compliance made easy for Government agencies
www.DnbGov.com
Compliance
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Financial Dictionary

Compliance Department

The department within a brokerage firm that oversees the trading and market-making activities of the firm.

Investopedia Commentary

It ensures that the employees and officers of the firm are abiding by the rules and regulations of the SEC.

See also: Agent, Broker-Dealer, Dealer, Discount Broker, Full Service Broker, Market Maker, SEC

Investopedia.com. Copyright © 1999-2005 - All rights reserved. Owned and Operated by Investopedia Inc.
Cite This Source
AT&T Pharmaceuticals
Out in the field? No problem with AT&T Wireless Business Solutions.
att.com/enterprise
Dun & Bradstreet
Regulatory compliance made easy for Government agencies
www.DnbGov.com
Financial Dictionary

compliance department

Securities exchange staff who are charged with ensuring that activity on the exchange complies with the rules of the exchange and those of the SEC.

Wall Street Words: An A to Z Guide to Investment Terms by David L. Scott.
Copyright © 2003. Published by Houghton Mifflin.
Cite This Source
Search another word or see compliance department on Thesaurus | Reference
Compliance
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MyComplianceOffice
Compliance Solutions for Registered Investment Advisors
www.MyComplianceOffice.com
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