Date Last Updated: July 21, 2019

Tag: sec

  • North America

    Chicago Stock Exchange

    Based in the third largest city in the United States, the Chicago Stock Exchange (CHX) operates as a national securities exchange and self-regulated organization under the oversight of the U.S. Securities and Exchange Commission (SEC). As an integral element of the National Market System, CHX offers competition to all U.S. equity markets and facilitates trading transactions in virtually all ...

  • North America

    National Stock Exchange

    With offices in both Jersey City and Chicago, the National Stock Exchange (NSX) is regulated by the U.S. Securities and Exchange Commission (SEC). Additionally, the NSX tracks all trading conducted on the exchange by means of systemic controls and automated daily surveillance. NSX views compliance with its own rules and federal securities laws as being essential to investor confidence and ...

  • North America

    Nasdaq Exchange

    Based in New York City, the NASDAQ Stock Market, referred to simply as NASDAQ, is owned by the NASDAQ OMX Group. NASDAQ has more than 3,200 companies and corporations listed, of which 335 are non-U.S. companies, representing all industry sectors from 35 countries. Through the NASDAQ Global Platform Select Market, companies throughout the world have access to U.S. capital formation, thereby ...

  • Investing

    Penny Stocks

    Penny stocks are defined by no less an authority as the Securities Exchange Commission (SEC) as stocks issued by companies with low market capitalization, typically under $500 million. Penny stocks may trade at prices of more than $1 per share, but the SEC uses the share price to categorize them rather than their level of market capitalization. Although penny stocks are sometimes traded on ...

  • Organizations

    The financial markets and investment business are carefully regulated and supervised by agencies on a variety of federal and state levels. On the federal level, the U.S.Securities and Exchange Commission (SEC) is charged with the mission of not only protecting individual and institutional investors but performing other tasks such as maintaining fair, efficient, and orderly markets. A lesser ...

  • Organizations

    Occ

    The Options Clearing Corporation, commonly known by the abbreviation OCC, was established in 1973 to provide a secure and stable foundation for the blossoming trade in stock and other options as well as other financial derivatives such as commodity options, commodity futures and security futures. As indicated by its name, the OCC acts as a clearinghouse and a guarantor for these types of ...