| 1. | Cease and Desist Proceedings | A legal proceeding against an individual or group where the outcome desired is that the person or group cease doing some activity. |
| 2. | Censure | The act of blaming or condemning sternly or an official reprimand. |
| 3. | Certification | A written or otherwise authoritative statement that something is true or as represented or as meeting a standard. |
| 4. | Chairman of the Board | The highest-ranking officer in a corporation's board of directors. The chairman presides over corporate board meetings. The chairman may or may not have executive authority over a firm - depending on … 0.3 KB |
| 5. | Chief Executive Officer | The executive who is overall responsible for a company's operations. Often this position and title is also held by the President or the Chairman of the Board. |
| 6. | COSO | Committee of Sponsoring Organizations. COSO was originally formed in 1985 to sponsor the National Commission on Fraudulent Financial Reporting, an independent private sector initiative which studied t… 0.5 KB |
| 7. | Code of Ethics | A set of ethical and moral guidelines that should be followed. |
| 8. | Comfort Letter | An accounting firm's statement provided to a company preparing for a public offering, confirming that unaudited financial data in the prospectus follows Generally Accepted Auditing Principles, and tha… 0.4 KB |
| 9. | Commission | The term `Commission' means the Securities and Exchange Commission. See also: Securities and Exchange Commission |
| 10. | Committee on Banking, Housing and Urban Affairs | A U.S. Senate Committee that has broad jurisdiction over the operation of U.S. financial institutions, housing and mass transit programs. Committee on Banking, Housing and Urban Affairs |
| 11. | Committee on Financial Services | The Committee oversees the entire financial services industry, including the securities, insurance, banking, and housing industries. The Committee also oversees the work of the Federal Reserve, the Tr… 0.4 KB |
| 12. | Compensation | Pay received in exchanged for producing a product. |
| 13. | Compensatory Damages | The financial compensation that a claimant seeks or a court awards for injuries sustained or property damaged by another. |
| 14. | Compliance | A company is said to "be in compliance" when it is in accordance with the relevant Federal or regional authorities who regulate business and commerce. In the financial services industry, the most impo… 0.6 KB |
| 15. | Comport | To be fitting or conformable to what is right, proper, or expected. See Title VIII Section 802 - Destruction of corporate records. |
| 16. | Comptroller General | The head of the Government Accountability Office Comptroller General |
| 17. | Conflicts of Interest | This occurs when an individual could be unfairly biased when making a decision or taking some action. For example a securities analyst has an obligation to report his finding broadly to the public per… 0.6 KB |
| 18. | Conforming Amendment | There are many laws in the U.S. When a new law is passed, some of the old laws may have to be changed to "conform" to the new law. An amendment is then made to the old law to make is conform or be con… 0.2 KB |
| 19. | Congress | The supreme legislative body of a nation and especially of a republic. The law making branch of the U.S. Government. The house or Representatives are often called congress but, actually, the term appl… 0.3 KB |
| 20. | Consolidation | The combining of separate companies, functional areas, or product lines, into a single entity. This is different than a merger in that a new entity is created in a consolidation whereas in a merger, t… 0.3 KB |
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