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Filter:Compliance

Category – Compliance

Compliance refers to the adherence to laws, regulations, and internal policies within an organization. In trading, compliance ensures that all transactions and activities align with legal frameworks, such as the Securities and Exchange Commission (SEC) rules or anti-money laundering (AML) standards. Traders must be aware of compliance issues to avoid legal risks and penalties. Financial institutions and traders face increasing scrutiny, with compliance being crucial in maintaining reputation and operating within regulatory boundaries.

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SPLIT ADJUSTED

Split adjusted refers to the adjustment made to a stock's price and shares outstanding to account for stock splits.

PENNY STOCK

Penny stock is a small company's stock that typically trades for less than $5 per share.

RUG PULL

Rug pull is a type of scam where the developers abandon a project and run away with investors' funds.

LIQUIDATION

Liquidation is the process of bringing a business to an end and distributing its assets to claimants.

INTRINSIC VALUE

Intrinsic value is the perceived or calculated true value of an asset.

FRONT-RUNNING

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

DIVIDEND REINVESTMENT PLAN (DRIP)

Dividend reinvestment plan (DRIP) allows investors to reinvest their cash dividends into additional shares of the underlying stock.

DIVIDEND ARISTOCRATS

Dividend aristocrats are companies in the S&P 500 that have increased their dividends for 25 consecutive years.

DAY TRADING

Day trading is the buying and selling of securities within a single trading day.

WASH TRADING

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

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