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Finance Dictionary and Glossary of Investment Terms
Compliance department
Definition 1.
A department in all organized stock exchanges to ensure that all companies, traders, and brokerage firms comply with Securities and Exchange Commission and exchange rules and regulations.
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Definition 2.
The department within a brokerage firm that oversees the trading and market-making activities of the firm.
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Definition 3.
The department within a brokerage or stock exchange that oversees trading and other activities to ensure that SEC regulations are being adhered to. also called compliance unit.
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