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Financial terms in "Strategies"

1. shortfall risk

2. buy weakness

3. information coefficient

4. tactical asset allocation

5. investment style

6. stock screening

7. long-term financial plan

8. correlation trading

9. capital growth strategy

10. Gambler's fallacy

11. investment analysis

12. perfect hedge

13. covered combination

14. carte blanche

15. specialization

16. life income plan

17. Just-In-Time

18. APT

19. market-neutral investing

20. Cartel

21. risk

22. active investment management

23. debt management

24. gapping

25. wash

26. basket

27. Halloween Strategy

28. CIC

29. ladder strategy

30. stakeholder analysis

31. bull call spread

32. ultimate oscillator

33. collective rationalization

34. cost segregation

35. stock selection strategy

36. Sell short

37. Program Trading

38. accumulation plan

39. ulcer index (UI)

40. cover on approach

41. Pump And Dump

42. time weighted average price

43. conservative

44. synthetic long stock

45. currency binary

46. defensive buy

47. ethical investing

48. cover

49. analyze

50. corporate structure

51. Contrarian

52. Chartered Financial Consultant

53. Growth

54. combination

55. retracement levels

56. buy break

57. Risk Management

58. macro-hedge

59. risk seeking

60. investment analyst

61. risk category

62. ChFC

63. martingale system

64. arbitrageur

65. short and distort

66. optimization

67. swing trade

68. Research

69. forex hedge

70. investment policy

71. expected return

72. capital allocation line (CAL)

73. conservative growth

74. double hedging

75. style investing

76. allocation

77. shorting against the box

78. basis trading

79. wealth management

80. automatic reinvestment plan

81. CAN SLIM

82. gamble

83. buy a bounce

84. double up

85. cash and carry trade

86. geographic risk

87. whale watching

88. bifurcation

89. Arbitrage Pricing Theory

90. value investing

91. chasing the market

92. defensive open market operations

93. 130-30 strategy

94. fundamentalist

95. hard stop

96. tracking error

97. regret theory

98. gut spread

99. Chartered Financial Analyst

100. variable ratio plan

Note: Maximum 100 records reached. Please narrow your search.

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Definition / Meaning of

Office Of Compliance Inspections And Examinations (OCIE)

Categories: Estate Planning, Brokerages,

The Office of Compliance Inspections and Examinations ("OCIE") protects investors through administering the SEC's nationwide examination and inspection program. Examiners in Washington DC and in the Commission's 11 regional offices conduct examinations of the nation's registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, the national securities exchanges, clearing agencies, the nationally recognized statistical rating organizations ("NRSRO"s), SROs such as the financial industry regulatory authority ("FINRA") and the municipal securities rulemaking board, and the public company accounting oversight board ("PCAOB"). OCIE's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities market(s) generally.

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