Understanding the 3(c)(1) Exemption and its Role in Limiting the Number of Investors to 100, Including Accredited Investors.
A report that companies must file with the SEC to announce significant events that shareholders should know about between 10-Q and 10-K filings.
Detailed exploration of Accounting Series Releases (ASRs), their historical significance, and their evolution into Financial Reporting Releases (FRRs) in the USA.
An in-depth look at Alternative Trading Systems (ATS), their history, types, key events, regulatory aspects, and their significance in modern financial markets.
An in-depth look at the Alternative Uptick Rule, a critical regulation under Regulation SHO that restricts short selling in U.S. financial markets when a security's price experiences a significant decline.
EDGAR (Electronic Data Gathering, Analysis, and Retrieval System) is the SEC's electronic system for submitting, accessing, and analyzing public company filings.
A comprehensive guide to the SEC's Edgar Database, including its history, key events, and importance in the financial world.
Federal Securities Laws encompass statutes and regulations designed to oversee the issuance and trading of securities, aiming to maintain fair, transparent, and efficient markets.
The filing date is the date when a document is officially submitted to the Securities and Exchange Commission (SEC), marking its official entry into the public record.
A comprehensive overview of Financial Reporting Releases (FRRs) issued by the SEC, covering historical context, types, key events, importance, examples, and related terms.
A comprehensive guide to the Financial Industry Regulatory Authority (FINRA), including its historical context, roles, key events, and more.
A comprehensive guide to Form 144, its significance in financial markets, and its usage by insiders to sell control securities within regulatory frameworks.
An in-depth look at FORM 20-F, its historical context, requirements, key events, categories, and importance for non-US companies filing annual results with the SEC.
Form D is a notice filed with the SEC and state securities regulators to report an exempt offering of securities. Typically utilized by companies to raise capital without the need to register the securities with the SEC.
Form S-1 is the initial registration statement required by the SEC for companies planning to go public. It provides an in-depth overview of the company's business, finances, and risk factors.
Form S-3 is a simplified Registration Statement used by companies that meet specific criteria, allowing them to raise capital more efficiently.
Financial Reporting Release (FRR) refers to directives and interpretations provided by the Securities and Exchange Commission (SEC) related to financial reporting.
A detailed examination of the Management Discussion and Analysis (MD&A) section in annual reports, its purpose, historical context, key elements, importance, and examples.
A detailed explanation of Proxy Statement (DEF 14A), its components, importance, and related terms.
A professional individual or firm registered with the SEC or state securities authorities that provides investment advice for a fee.
A comprehensive overview of a Registered Representative, detailing their role, registration process, responsibilities, and significance in the financial markets.
Registered Shares are securities that are formally registered with the U.S. Securities and Exchange Commission (SEC) and can be freely traded on the open market. This entry elaborates on their definition, types, special considerations, examples, history, and more.
An in-depth look at the registration statement, a crucial document filed with the Securities and Exchange Commission for new securities issues.
Regulation FD, or Fair Disclosure, is a rule enacted by the U.S. Securities and Exchange Commission to curb selective disclosure by public companies.
S-1 is a form used by companies planning to go public to register their securities with the Securities and Exchange Commission (SEC).
An in-depth exploration of the Securities and Exchange Commission, its historical context, roles, functions, and its importance in financial regulation.
Comprehensive overview of the U.S. Securities and Exchange Commission (SEC), its roles, responsibilities, and impact on securities markets.
Detailed Overview of SEC Filings, Including Historical Context, Types, Key Events, and Importance in Finance and Investment.
An annual filing with the SEC for disclosing any transactions that were not reported during the year concerning changes in beneficial ownership.
An in-depth guide to SEC Regulation, its purpose, historical context, types, and implications.
SEC Reporting involves the process through which publicly traded companies disclose financial and other significant information to the Securities and Exchange Commission (SEC). It ensures transparency, investor protection, and fair markets.
SEC Rule 12g-1 outlines the requirements for registration based on the number of shareholders and total assets, impacting how companies disclose financial information.
An in-depth examination of the Securities and Exchange Commission (SEC), its history, functions, and significance in financial markets.
An in-depth look at the Securities and Exchange Commission (SEC), the primary government agency overseeing securities trading and takeovers in the United States.
A comprehensive overview of the short-form audit report, including historical context, key events, explanations, importance, and related terms.
Understanding Wells Submission—a detailed written response to a Wells Notice issued by the U.S. Securities and Exchange Commission (SEC). This guide covers its definition, purpose, process, historical context, examples, and FAQs.
The cooling-off period is an interval designed for reflection before finalizing certain financial or employment decisions. In finance, it refers to the duration between filing a preliminary prospectus and offering securities to the public, while in labor relations, it's a mandated period to prevent strikes or lockouts.
A detailed overview of a deficiency letter issued by the Securities and Exchange Commission, its implications, and required actions.
Comprehensive overview of disclosure in the context of investments, covering requirements by the Securities and Exchange Commission (SEC) and stock exchanges.
EDGAR is the Electronic Data Gathering, Analysis, and Retrieval system, which is used for the automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the U.S. Securities and Exchange Commission (SEC).
A comprehensive overview of exempt securities, including definitions, types, regulatory exemptions, examples, historical context, applicability, and related terms.
The Flash Crash refers to the sudden 998.5-point drop in the Dow Jones Industrial Average (DJIA) on May 6, 2010, marking the biggest one-day decline in the average's history. It was caused by a single trade at a hedge fund that triggered a cascade of computerized selling.
Comprehensive overview of the Investment Advisers Act of 1940, which requires all investment advisers to register with the SEC to prevent fraud and misrepresentation.
A service providing professional investment advice for a fee, necessitating registration with the Securities and Exchange Commission and compliance with the Investment Advisers Act.
The Investment Company Act of 1940 is a U.S. legislation that mandates the registration and regulation of investment companies by the Securities and Exchange Commission (SEC). It sets forth the guidelines by which mutual funds and other investment companies operate.
A Principal Stockholder is a stockholder who owns a significant number of shares in a corporation. Under Securities and Exchange Commission (SEC) rules, a principal stockholder owns 10% or more of the voting stock of a registered company.
An investment or business opportunity offered for sale to a select group of investors, typically exempt from full registration requirements by the SEC and state securities laws.
A comprehensive overview of Public Offering, its types, regulatory requirements, examples, historical context, and related terms.
A comprehensive overview of a Registered Investment Company, its types, regulatory framework, and importance in the financial markets.
A Registered Representative (RR) is an employee of a stock exchange member broker/dealer who acts as an account executive for clients, providing advice on which securities to buy and sell. Licensed by the SEC and NYSE, RRs earn compensation through commission income.
Understand the concept of registration across various contexts, from educational enrollment to securities issuance in compliance with Securities Acts.
Regulation D of the Securities and Exchange Commission (SEC) outlines the rules and conditions necessary for private offering (private placement) exemptions, enabling companies to raise capital without public registration.
An essential system used for electronically submitting and accessing filings by businesses and individuals for compliance with federal securities laws in the United States.
The SEC is a U.S. federal agency tasked with regulating securities markets, preventing unfair practices, and maintaining market integrity for investors.
The Securities Exchange Act of 1934 governs the securities markets, prohibiting misrepresentation, manipulation, and other abusive practices while establishing the Securities and Exchange Commission (SEC).
Unit Investment Trust (UIT) is a type of investment vehicle registered with the SEC under the Investment Company Act of 1940. UITs purchase a fixed portfolio of securities, including bonds and stocks.
Explore the 500 shareholder threshold rule by the SEC, its evolution over time, and its implications for public reporting requirements of a company, with a focus on the updated threshold of 2,000 shareholders.
An extensive guide to the 8-K form, its significance for shareholders, and the filing requirements set by the Securities and Exchange Commission (SEC).
A detailed guide on accredited investors, covering financial sophistication, requirements, and the implications of investing in unregistered securities.
A comprehensive guide to understanding insider trading, its legal boundaries, and its implications in the financial world.
An in-depth exploration of the Investment Company Act of 1940, its regulatory aspects, organizational stipulations, and impact on investment products.
An in-depth look at the JOBS Act, which simplifies SEC regulations for small businesses and fosters startup investments through crowdfunding.
The Katie Couric Clause refers to a proposed 2006 SEC rule that aimed to mandate firms to disclose the compensation of non-executive employees. Although it was never adopted, the clause sparked significant discussion and controversy.
A comprehensive guide to understanding large traders, including their definition, regulatory requirements, impact on markets, and special considerations.
A detailed examination of a proxy statement, including its definition, the information it contains, and the voting procedure for shareholders.
An in-depth exploration of Regulation SHO, which governs short sale practices through SEC regulations. Understand its definition, the activities it regulates, and the specific compliance requirements involved.
An in-depth examination of Rule 10b-5 under the Securities Exchange Act of 1934, its impact on securities fraud prevention, recent changes to cooling-off periods, and trading plans.
A comprehensive guide to SEC Form 13F, detailing what it is, who needs to file it, and the crucial issues surrounding its use.
An in-depth guide to SEC Form 3, including its definition, when to file, and key requirements. Learn about its role in regulating insider trading.
A comprehensive guide to SEC Regulation D, covering its definition, requirements, advantages, historical context, and more. Learn how smaller companies can sell securities without registering with the SEC.
Understanding SEC Rule 10b-18, which provides a safe harbor for companies and affiliated purchasers during stock repurchases, including definitions, compliance requirements, applicability, and examples.
A comprehensive overview of SEC Rule 10b5-1, exploring its definition, how it works, and the SEC requirements it entails for public companies' officers and directors to transparently execute stock trades and avoid insider trading accusations.
Comprehensive overview of SEC Rule 144, including definitions, holding periods, compliance requirements, and implications for the resale of restricted or unregistered securities.
Comprehensive overview and detailed definition of the Securities and Exchange Commission (SEC), including its purpose, functions, and impact on the securities markets and investor protection.
An in-depth exploration of the Securities Exchange Act of 1934, its historical context, provisions, and lasting impact on the securities market.
An in-depth exploration of the Uptick Rule, a crucial SEC regulation that mandates short sales to occur at a higher price than the previous trade, aiming to foster market stability and prevent excessive downward price spirals.
A comprehensive guide to understanding Wells Notices, including their definition, the process involved, and the implications for individuals and organizations.
Wildcatting refers to a practice by the SEC where it reviews an entire industry when issues are identified with one member firm. Learn about its significance, processes, and effects on market regulation.
