| 1. | Abrogation | To abolish by authoritative action. See Title 1 Section 107 ... shall govern the abrogation, deletion, or addition to portions of the rules of the Board by the Commission ... |
| 2. | Accountability | Accountability is the quality or state of willingness to accept responsibility or to account for one's actions. Sample sentence - Experience shows us that officials or executives who lack accountabili… 0.4 KB |
| 3. | Accountant | An accountant is one who is skilled in the practice of accounting - the capture, recording and reporting of the financial transactions of a business. See also: Accounting |
| 4. | Accounting | Accounting means the procedures that are applied to the systematic recording, reporting, and analysis of financial transactions of a business. Investor Words |
| 5. | Accounting Principles | Generally Accepted Accounting Principles (GAAP). A widely accepted set of rules, conventions, standards, and procedures for reporting financial information, as established by the Financial Accounting … 0.4 KB |
| 6. | Accounting Standards | Generally Accepted Accounting Standards (GAAS) - These are the standards compiled and maintained by the Financial Accounting Standards Board that set guidelines for the recording, reporting and auditi… See also: Accounting Principles 0.3 KB |
| 7. | Act | In this case, Act refers to the formal product of a legislative body. In this case we are referring to the Sarbanes Oxley Act of 2002. |
| 8. | Actuarial | Actuarial means of or relating to statistical calculation especially of life expectancy. For example, an insurance actuarial calculates how many people of a certain age will have car accidents and set… 0.4 KB |
| 9. | Administrative | Administrative means of or relating to Administration. It comes from Administer which means to manage or supervise the execution, use, or conduct of |
| 10. | Affidavit | A sworn statement in writing made especially under oath before an authorized magistrate or officer of the court. |
| 11. | Agent | An individual or firm authorized to act on behalf of another individual or firm (called the principal). For example an insurance agent could sell an insurance policy for an insurance company. The agen… 0.3 KB |
| 12. | Aggregate | Aggregate means some body, mass or amount that has been formed by the collection of units or particles into a whole. |
| 13. | Analyst | A person who studies or determines the nature and relationship of the parts of something by in order to achieve a better understanding. See also: Securities Analyst |
| 14. | Appearance | In this sense appearance means to show up before the Securities and Exchange Commission. There are a number of rules and regulations that govern who can and cannot appear before the commission. … See also: Securities and Exchange Commission 0.3 KB |
| 15. | Appropriate State Regulatory Authority | APPROPRIATE STATE REGULATORY AUTHORITY- The term `appropriate State regulatory authority' means the State agency or other authority responsible for the licensure or other regulation of the practice of… ; Securities and Exchange Commission 0.8 KB |
| 16. | Appropriations | Public funds set aside for a specific purpose. In this case it is the tax payer money allocated to the Securities and Exchange Commission to carry out the functions, powers and duties of the commissio… 0.3 KB |
| 17. | Artifice | In this sense artifice means false or insincere behavior. See SEC. 807. CRIMINAL PENALTIES FOR DEFRAUDING SHAREHOLDERS OF PUBLICLY TRADED COMPANIES. |
| 18. | Assessments | In this case assessment means the act of judging or assessing a person or situation or event. |
| 19. | Associated Persons | Associated Persons refers to persons associated with broker/dealer and public accounting firms. See TITLE XI—CORPORATE FRAUD AND ACCOUNTABILITY. Section 2 Definitions. |
| 20. | Association | Any group of individuals who meet and act for a common purpose. |
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