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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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PENDING SETTLEMENT CASH

Pending Settlement Cash represents funds from completed trades or other transactions that are in the process of settling but are not yet available for use in the trading account.

MARGIN CALL

Margin call is a demand by a broker that an investor deposit further cash or securities to cover potential losses.

10-Q

10-Q is a quarterly report filed by publicly traded companies to the SEC, detailing their financial performance.

BLACK-SCHOLES MODEL

Black-Scholes model is a mathematical model used to price options by determining the theoretical value of European-style options.

CALL OPTION

Call option is a financial contract that gives the holder the right, but not the obligation, to buy a security at a specified price within a specific time period.

COVERED CALL

Covered call is an options strategy where an investor holds a long position in an asset and sells call options on that same asset.

CROSS TRADE

Cross trade is a practice where buy and sell orders for the same asset are offset without recording the trade on the exchange.

DISCOUNT RATE

Discount rate is the interest rate used to determine the present value of future cash flows.

EX-DIVIDEND DATE

Ex-dividend date is the date on which a stock begins trading without the value of its next dividend payment.

GROWTH STOCK

Growth stock is a share in a company expected to grow at an above-average rate compared to other companies.

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