Browsing: Guides
IntroductionThe Commodity Futures Trading Commission (CFTC) is an independent federal agency that regulates the trading of futures and options contracts…
IntroductionOptions Clearing Corporation (OCC) is a clearinghouse that acts as a guarantor between buyers and sellers of options contracts. It…
IntroductionFINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the securities industry in the United States. It is…
IntroductionThe Foreign Account Tax Compliance Act (FATCA) is a United States federal law that requires U.S. taxpayers to report their…
IntroductionThe Securities Investor Protection Corporation (SIPC) is a nonprofit organization that provides insurance to investors in the event of a…
IntroductionNSCC (National Securities Clearing Corporation) is a clearinghouse that provides clearing and settlement services for securities transactions. It is a…
IntroductionDTC (Depository Trust Company) is a financial services company that provides electronic securities trading services to its clients. It is…
IntroductionCUSIP (Committee on Uniform Security Identification Procedures) is a nine-character alphanumeric code used to uniquely identify securities, such as stocks,…
IntroductionSEC Form DEF 14A is a filing with the U.S. Securities and Exchange Commission (SEC) that provides information about a…