Compliance Department
The department within a brokerage firm that oversees the trading and market-making activities of the firm.

Investopedia Says:
The compliance department ensures that the employees and officers of the firm are abiding by the rules and regulations of the Securities and Exchange Commission.

Related Terms:
Agent
Broker-Dealer
Dealer
Discount Broker
Full Service Broker
Market Maker
Securities and Exchange Commission - SEC

• Nash Equilibrium
• National Association Of Insurance And Financial Advisors - NAIFA
• National Association Of Insurance And Financial Advisors - NAIFA
• National Association of Insurance Commissioners (NAIC)
• National Association of Investors Corporation (NAIC)
• National Association of Investors Corporation (NAIC)
• National Association Of Mortgage Brokers (NAMB)
• National Association Of Mortgage Brokers (NAMB)
• National Association Of Real Estate Investment Trusts (NAREIT)
• National Association Of Real Estate Investment Trusts (NAREIT)
• National Association Of Securities Dealers (NASD)
• National Association Of Securities Dealers (NASD)
• National Best Bid and Offer (NBBO)
• National Best Bid and Offer (NBBO)
• National Bureau of Economic Research (NBER)
• National Bureau of Economic Research (NBER)
• National Commodities And Derivatives Exchange (NCDEX)
• National Credit Union Administration (NCUA)
• National Credit Union Administration (NCUA)
• National Futures Association (NFA)
• National Futures Association (NFA)
• National Income Accounting
• National Market System (NMS)
• National Market System (NMS)
• National Registration Database (NRD)