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Securities and Exchange Commission (SEC)

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Filter:Securities and Exchange Commission (SEC)

Category – Securities and Exchange Commission (SEC)

The Securities and Exchange Commission (SEC) is a U.S. government agency responsible for regulating the securities industry, enforcing laws against market manipulation, and ensuring transparency in financial markets. In trading, the SEC plays a crucial role in protecting investors by enforcing regulations on public companies, brokers, and exchanges. Traders must comply with SEC rules, such as disclosure requirements and insider trading laws, to ensure fair and orderly markets and to avoid legal repercussions.

WASH TRADING

Wash trading is the practice of buying and selling the same financial instruments to create misleading, artificial activity in the marketplace.

FRONT-RUNNING

Front-running is the unethical practice of a broker trading an equity based on advance information from a pending order.

ASSET-BACKED SECURITIES

Asset-backed securities are financial securities backed by a loan, lease, or receivables against assets other than real estate and mortgage-backed securities.

BALANCE SHEET

Balance sheet is a financial statement that reports a company's assets, liabilities, and shareholders' equity at a specific point in time.

CAPITAL GAINS

Capital gains are the profit realized when a capital asset is sold for a price higher than its purchase price.

CAPITAL GAINS TAX

Capital gains tax is a tax on the profit from the sale of property or an investment.

SHORT

A Short position involves selling a security that the trader doesn't own, with the intention of buying it back later at a lower price. Traders profit from the price decline. It's a bearish strategy, reflecting anticipation of the asset's price drop.

PUMP AND DUMP

Pump and Dump is a fraudulent scheme where the price of an asset is artificially inflated (pumped) through false or misleading information, and then sold off (dumped) at the higher price, leaving other investors with losses.

ANTI-MONEY LAUNDERING (AML)

Anti-money laundering (AML) refers to laws, regulations, and procedures designed to prevent criminals from disguising illegally obtained funds as legitimate income.

SHORT SALE PROCEEDS

Short Sale Proceeds are funds received from selling borrowed securities in a short sale. These proceeds act as a liability since the borrowed shares must eventually be repurchased and returned.