bright-line n.— «Bright-line guidance is what’s called for, not blocks to the progress of enforcement cases or their resolution.» —“SEC’s Cox Tightens Reins on Enforcement Division (Update1)” by Otis Bilodeau Bloomberg.com Apr. 13, 2007. (source:...
trade for eights v. phr.— «That was around the time the SEC brought charges against the brokers for the practice—called “trading for eights,” or flipping. But when the flipping case came to trial, the NYSE didn’t testify in the traders’ defense...
springloading n.— «He has wandered into the tumult about how some companies dated the stock options granted top managers as part of managers’ compensation.…What the SEC commissioner defended, however, is the practice known as “springloading,” a...
gross-up n.— «The Atlanta-based company also paid more than $3 million in Nardelli’s federal and state income taxes, a practice called “gross-up.”» —“SEC’s Disclosure Would Unveil Hidden Executive Perks, Payouts” by Edward Robinson Bloomberg Mar...
noisy withdrawal n.— «“Noisy withdrawal”—where lawyers are required if necessary to resign with notice to the SEC where there has been a serious breach of securities law.» —“Let me in, I’m a lawyer” by Jon Robbins Independent (U.K.) May 10, 2004...
sub-penny quoting
n.— «It would be Nasdaq’s preference that we don’t move to sub-penny quoting.» —“SEC” by Judith Burns Dow Jones News Service May 24, 2001. (source: Double-Tongued Dictionary)