Skip to Main Content

Fast Answers - Key Topics

Fast Answers - Key Topics

 
Investors:  Before you write or call us, use the alphabet bar or search box below — or scan our list of most frequently requested search terms — to find quick answers to common questions.  If you wish to file an investor complaint, please use our online Investor Complaint Form.

If you don't find what you're looking for, please send us your question using our Question Form.


Industry participants:  If you are (or represent) a corporate issuer, broker-dealer, investment adviser, investment company, or accountant -- and your question concerns the application or interpretation of a law or rule -- please contact the appropriate SEC division or office directly.
Subscribe RSS
Title Last Updated
"Ask" Price
May 9, 2011
"Bid" Price
May 9, 2011
"E" Added to Stock Ticker Symbol
Oct. 15, 2012
"Ponzi" Schemes
Oct. 9, 2013
"Pre-IPO" Investing
Sept. 6, 2011
"Prime Bank" Investments
Sept. 18, 2000
"Q" Added To Stock Ticker Symbol
Oct. 15, 2012
"Restricted" Securities: Removing the Restrictive Legend
Jan. 16, 2013
10-K, How to Read
July 1, 2011
12b-1 Fees
Fees, also known as “distribution [and/or service] fees,” that are paid by a mutual fund out of fund assets to cover distribution and sometimes shareholder service expenses.
Nov. 8, 2013
8-K, How to Read
May 1, 2012
Accounts -- Opening a Brokerage Account
Opening a brokerage account requires three critical decisions: who will buy and sell in the account, how will investments be paid, and how much risk will the account holder take.
March 26, 2008
Accredited Investors
July 16, 2012
Advance Fee Fraud
April 28, 2010
After-Hours Trading
May 25, 2011
All-Or-None Order
March 10, 2011
American Depositary Receipts
Jan. 31, 2007
Analyst Recommendations
SEC cautions investors not to rely solely on any analyst recommendation, and should know what they’re buying and why.
Sept. 6, 2011
Annual Report
Oct. 15, 2014
Annuities
April 6, 2011
Arbitration
Aug. 20, 2013
Arbitration, How to Find a Lawyer Specializing in Securities
Aug. 23, 2010
Arbitration, Limited Appeal Rights, SEC role
March 8, 2013
Arbitration/Mediation, Clinics
Law schools in California, District of Columbia, Florida, Georgia, Illinois, Michigan, New Jersey, New York, and Pennsylvania have established securities arbitration/mediation clinics to provide legal representation to investors who cannot hire a lawyer to handle their claims.
Feb. 4, 2014
Ask Questions
Oct. 12, 2000
Banking Regulators
Jan. 13, 2012
Bankruptcy
Oct. 16, 2014
Best Execution
May 9, 2011
Blank Check Company
Aug. 10, 2012
Blue Sky Laws
Oct. 14, 2014
Boiler Room
May 25, 2000
Bond Funds
Bond funds and income funds are investments that deal primarily with debt securities.
March 29, 2010
Bond Swaps
When an investor sells one bond and uses the proceeds to purchase another bond, often at the same price.
Sept. 7, 2004
Bond Terms
Oct. 17, 2014
Bonds
Oct. 17, 2014
Bonds, Callable or Redeemable
Bonds that can be redeemed or paid off by the issuer prior to the bonds' maturity date.
April 4, 2008
Bonds, Corporate
Debt securities issued by private and public corporations.
June 4, 2008
Bonds, Late Payment of Interest
The process of paying bondholders involves banking transactions that are subject to the supervision of state and federal banking authorities.
Feb. 6, 2007
Bonds, Municipal
Debt securities bonds issued by states, cities, counties and other governmental entities to finance capital projects.
Jan. 28, 2011
Bonds, Selling Before Maturity
Dec. 14, 2010
Bonus Credits, Annuities
Extra amount an insurance company agrees to add to a contract.
Aug. 15, 2001
Book Entry
Oct. 5, 2005
Breakpoint Discounts
Discounts offered to investors who purchases mutual fund shares.
July 28, 2010
Broker Dealer Record-Keeping Requirements
Jan. 14, 2013
Broker Dealer Registration
Jan. 14, 2013
Broker Dealer Registration: Where to File
July 25, 2013
Broker-Dealers: Receiving Your Funds or Securities
Feb. 7, 2000
Broker-Dealers: Why They Ask for Personal Information
Jan. 28, 2014
Brokerage Orders
Investors have several orders options when it comes to buying and selling securities.
Dec. 12, 2011
Brokers and Advisers
Feb. 14, 2012
Bulletin Boards
Oct. 15, 2012
CUSIP Number
Jan. 31, 2006
Canadian Tax-Deferred Retirement Savings Accounts
Jan. 11, 2005
Cash Account
Feb. 24, 2011
Central Registration Depository, CRD
Feb. 14, 2012
Certificates of Deposit
Aug. 30, 2004
Churning
Jan. 15, 2013
Class Actions
Oct. 11, 2005
Closed-End Funds
Jan. 16, 2013
Closing Price
Oct. 15, 2012
Cold Calling
Feb. 14, 2012
Collaterized Mortgage Obligations (CMOs)
Sept. 2, 2011
Comment Letters
April 18, 2011
Commodity Futures Trading Commission
May 26, 2010
Companies, Going Public
Oct. 14, 2014
Complaints, How We Handle
Nov. 30, 1999
Complaints, What To Do
Nov. 30, 1999
Consolidated Tape
Oct. 15, 2012
Contacting the SEC
The SEC can be contacted by mail, email, phone, and through an online complaint form.
July 14, 2000
Convertible Securities
Aug. 10, 2012
Corporate Reports, How To Get
July 23, 2010
Cost Basis for Securities Transactions
Oct. 11, 2005
Credit Reports, Disputing An Inaccurate Report
May 26, 2010
Cumulative Voting
Oct. 14, 2014
DTC, Chills at The Depository Trust Company
Aug. 2, 2012
DTC, Freezes at The Depository Trust Company
Aug. 2, 2012
Day Orders
March 10, 2011
Day Trade
Feb. 10, 2011
Day Trading
Feb. 10, 2011
Defunct Company, Stock Continues to Trade
Jan. 15, 2013
Derivatives
May 25, 2000
Direct Investment Plans: Buying Stock Directly from the Company
March 1, 2002
Disaster-related Investment Scams
Disaster-related investment scams often increase following oil spills, hurricanes, floods, and other such tragedies.
Oct. 17, 2014
EDGAR, How To Use
Nov. 9, 1999
Electronic Communication Networks (ECNs)
Sept. 25, 2013
Electronic Mailboxes at the SEC
Jan. 11, 2000
Employee Stock Options Plans
March 29, 2010
Employee Stock Ownership Plans (ESOPs)
Nov. 5, 2012
Equity-Linked CDs
Oct. 12, 2006
Escheatment Process
A process that goes into effect when a firm or financial institution is unable to identify the owner of an abandoned or unclaimed account.
June 25, 2007
Ex-Dividend Dates: When Are You Entitled to Stock and Cash Dividends
June 21, 2004
Exchange-Traded Funds (ETFs)
Nov. 8, 2013
Executive Compensation
Federal securities laws requires clear disclosure about compensation paid to CEOs, CFOs and certain other high-ranking executive officers of public companies.
Sept. 2, 2011
Fair Disclosure, Regulation FD
Rule that aims to promote the full and fair disclosure of information by publicly traded companies and other issuers.
Aug. 30, 2004
Federal Laws
Federal laws, including securities laws, can be found by searching the United States Code.
July 25, 2005
Federal Securities Laws
Oct. 1, 2013
Federal Securities Laws
March 29, 2010
Filing and Registration Fees
April 4, 2008
Fill-Or-Kill Order
March 10, 2011
Financial Planners
Aug. 20, 2008
Foreign Regulators
May 8, 2009
Form 10-K
June 26, 2009
Form 10-Q
Sept. 2, 2011
Form 1099
All brokerage firms, mutual funds, companies, and other entities are required by law to report on Form 1099 all interest or dividends they have paid to investors during the previous tax year.
Feb. 7, 2002
Form 13F-—Reports Filed by Institutional Investment Managers
Jan. 15, 2013
Form 144
Dec. 5, 2012
Form 8-K
Aug. 10, 2012
Form ADV
March 11, 2011
Form D
Aug. 10, 2012
Forms 3, 4, 5
Securitites ownership disclosure forms required to be filed by a company’s officers, directors and any beneficial owner of more than 10 percent of a class of the company’s equity securities.
Jan. 15, 2013
Freeriding
Feb. 24, 2011
Freeze
Feb. 24, 2011
Frequently Asked Questions
April 7, 2010
Frequently Requested Search Terms
June 28, 2011
Going Private
Sept. 2, 2011
Good-Til-Cancelled Order
March 10, 2011
Hedge Funds
Dec. 4, 2012
High-Yield Investment Programs
June 25, 2013
Holding Your Securities
July 25, 2012
Holiday Schedules and Trading Hours for the Major Securities Markets
May 27, 2010
Home Mortgage Loans
July 11, 2011
Householding Rules, Preventing Duplicate Copies of Prospectuses and Mutual Fund Reports
SEC allows funds to deliver a single copy of a prospectus or mutual fund shareholder report to investors who share the same address.
July 28, 2010
Immediate-Or-Cancel Order
March 10, 2011
Impersonators, Investor Alert
April 28, 2010
Index Funds
May 14, 2007
Information About Some Companies Not Available From the SEC
Nov. 26, 2013
Information Matters
May 11, 2011
Initial Public Offerings (IPO)
May 31, 2013
Initial Public Offerings, Pricing Differences
Sept. 6, 2011
Initial Public Offerings, Why Individuals Have Difficulty Getting Shares
Nov. 24, 1999
Initial Public Offerings: Eligibility To Get Shares at Broker-Dealers
Sept. 6, 2011
Initial Public Offerings: Lockup Agreements
A period of time—typically 180 days—where company insiders are prohibited from selling their shares after the company goes public.
Sept. 6, 2011
Insider Trading
Jan. 15, 2013
Internalization
March 20, 2000
International Investing
Sept. 2, 2011
Internet Fraud
June 25, 2013
Interval Funds
Jan. 15, 2013
Investigations by the SEC
Jan. 19, 2012
Investing: Questions You Should Ask About Your Investments (pdf)
Investors should do thorough research and ask questions about products before purchasing them.
Dec. 5, 2013
Investment Adviser Public Disclosure (IAPD)
Dec. 14, 2010
Investment Adviser Registration Depository (IARD)
Dec. 14, 2010
Investment Advisers
Dec. 14, 2010
Investment Clubs
May 9, 2011
Investment Companies
July 9, 2013
Investment Company Registration and Regulation Package
General information about investment companies (e.g., mutual funds, closed-end funds, and unit investment trusts) that is available online.
Feb. 19, 2013
Investment Company, Shareholders' Information
Investors are advised to read all available information from the fund, including the prospectus, statement of additional information, and shareholder reports.
April 15, 2010
Investors Claims Funds
Oct. 5, 2000
Late Trading
Oct. 12, 2005
Lawyer Referrals
Investors seeking an attorney specializing in resolving securities complaints may obtain a referral from a list of bar associations.
July 31, 2007
Limit Orders
March 10, 2011
Listing and Delisting Requirements
Oct. 15, 2012
Lost or Stolen Stock Certificates
A “stop transfer” should be immediately requested when securities certificates are lost, accidentally destroyed, or stolen.
Dec. 20, 2011
Manipulation
March 28, 2008
Margin
Sept. 22, 2004
Margin Position Sellouts
Feb. 14, 2012
Market Capitalization
June 25, 2007
Market Centers: Buying and Selling Stock
Location where orders to buy and sell stocks are executed.
Oct. 15, 2012
Market Indices
Oct. 15, 2012
Market Maker
March 17, 2000
Market Order
March 9, 2011
Market Volatility Procedures and Circuit Breakers
July 24, 2012
Medallion Signature Guarantees
Medallion signature guarantees are required to transfer or sell securities in physical certificate form. These securities powers are needed before a transfer agent will accept the transaction.
Dec. 20, 2008
Mediation
Feb. 14, 2012
Mergers
Jan. 15, 2013
Microcap Stock
June 25, 2007
Mini-Tender Offers
Small offers that result in owning less than 5 percent of a company’s stock; often used to catch shareholders off guard.
March 29, 2010
Money Market Fund
Jan. 16, 2013
Mortgage-Backed Securities
July 23, 2010
Mutual Fund Classes
July 9, 2013
Mutual Fund Cost Calculator
Online cost calculators are available to compare the costs of owning different mutual funds.
July 28, 2010
Mutual Fund Directory
April 10, 2007
Mutual Fund Fees and Expenses
Jan. 15, 2013
Mutual Fund Prospectus
July 28, 2010
Mutual Fund Redemptions, What You Should Know
July 28, 2010
Mutual Funds
Dec. 14, 2010
Mutual Funds, Past Performance
July 28, 2010
Naked Short Sales
July 23, 2010
Nasdaq
April 18, 2011
National Securities Exchanges
Securities exchanges that have registered with the SEC under Section 6 of the Securities Exchange Act of 1934.
Aug. 30, 2012
Nationally Recognized Municipal Securities Information Repositories (NRMSIRs)
Free public access on sources of municipal securities information is available from the Municipal Securities Rulemaking Board (MSRB), through its Electronic Municipal Market Access (EMMA) website at www.emma.msrb.org.
Jan. 26, 2011
Nationally Recognized Statistical Rating Organizations (NRSROs)
A credit rating agency assesses the creditworthiness of an obligor as an entity or with respect to specific securities or money market instruments.
May 31, 2013
Net Asset Value
July 9, 2013
Nigerian "Advance Fee Fraud" Schemes
April 28, 2010
No Action Letters
Sept. 21, 2012
OTC Bulletin Board (OTCBB)
Oct. 25, 2012
OTC Bulletin Board (OTCBB) Eligibility Rule
Aug. 30, 2004
Oil and Gas
Oct. 15, 2014
Old Stock and Bond Certificates
Old stock or bond certificates may still be valuable even if it no longer trades under the name printed on the certificate.
Jan. 9, 2013
Online Investment Newsletters
Aug. 30, 2004
Online Message Boards
July 5, 2000
Online Trading
March 26, 2008
Options Trading
July 23, 2010
PIPE Offerings
May 19, 2005
Pattern Day Trader
Feb. 10, 2011
Payment for Order Flow
June 25, 2007
Penny Stock Rules
May 9, 2013
Pink Sheets
May 9, 2013
Promissory Notes
A type of debt, similar to loans or IOUs, that companies sometimes use to raise money.
Sept. 2, 2011
Proxy Statements
June 1, 2011
Proxy Statements: How to Find
Aug. 14, 2003
Public Company Accounting Oversight Board (PCAOB)
A private sector, nonprofit corporation created by the Sarbanes-Oxley Act of 2002 to oversee accounting professionals who provide independent audit reports for publicly traded companies.
Jan. 16, 2013
Public Documents: How to Request Public Documents
Questions and inquiries relating to the Commission, federal securities laws and investments should be submitted via [https://tts.sec.gov/oiea/QuestionsAndComments.html]. Public documents can be requested through the Office of FOIA/PA Operations.
Oct. 25, 2013
Publications
Oct. 12, 2000
Pump and Dump
June 25, 2013
Pyramid Schemes
Oct. 9, 2013
Quiet Period
Sept. 2, 2011
Real Estate Investment Trusts (REITS)
Jan. 17, 2012
Recovering Funds - How individual investors may be able to recover financial losses resulting from securities fraud
Feb. 24, 2009
Registration Under the Securities Act of 1933
Sept. 2, 2011
Regulation D Offerings
Dec. 2, 2009
Regulation SHO
April 18, 2005
Retirement Questions and Complaints
Questions regarding retirement plans, such as pensions or 401(k), should be addressed to the U.S. Department of Labor.
Oct. 4, 2012
Reverse Stock Splits
Nov. 3, 2000
Rule 504 of Regulation D
Dec. 2, 2009
Rule 505 of Regulation D
Dec. 2, 2009
Rule 506 of Regulation D
Oct. 6, 2014
Rulemaking, How It Works
April 6, 2011
SEC's Test Your Money Smarts
Feb. 3, 2001
Sales Practice Abuses
May 5, 2005
Saving Bonds
Aug. 7, 2012
Savings Bond Calculator
Tool to help calculate how much savings bonds are currently worth, what it was worth in the past, and what it will be worth in the near future.
Feb. 6, 2007
Schedule 13D
Dec. 5, 2012
Section 31 Transaction Fees
Sometimes described as the “SEC Fee,” this charge is designed to recover the costs incurred by the government for supervising and regulating the securities markets and securities professionals.
Sept. 25, 2013
Securities Act Rule 144
A safe harbor for the public resale of restricted or control securities if a number of conditions are met, including how long the securities are held, the way in which they are sold, and the amount that can be sold at any one time.
Jan. 16, 2013
Securities Investor Protection Corporation (SIPC)
March 27, 2012
Securities Regulators, State
March 29, 2010
Securities and Exchange Commission
Dec. 21, 1999
Security Power
Sept. 14, 2005
Selling Short Against the Box
Aug. 15, 2007
Series 7 Examination
March 26, 2008
Settling Securities Transactions, T+3
Investors must complete or "settle" their security transactions within three business days.
Feb. 25, 2003
Shareholder's Lists, When You Can Get Them
Jan. 16, 2013
Short Sale Restrictions
Sept. 6, 2011
Short Sale Volume and Transaction Data
March 18, 2011
Short Sales
Sept. 6, 2011
Social Security Retirement Planner
Oct. 5, 2005
Spam
March 1, 2007
Specialists
Oct. 15, 2012
Spiders (SPDRs)
May 27, 2010
Spin-Offs
Sept. 21, 2011
Spread
Dec. 18, 2002
Staff Legal Bulletins
Nov. 5, 2004
State Regulators
March 29, 2010
State Securities Regulators
Jan. 11, 2005
Stock Certificates, Proving Ownership
June 25, 2007
Stock Directory and Prices in the U.S.
May 27, 2010
Stock Funds
March 29, 2010
Stock Splits
March 29, 2010
Stock Tables, How to Read Them
May 26, 2010
Stop Order
March 10, 2011
Stop-Limit Order
March 10, 2011
Street Name
Oct. 5, 2005
Suitability
Feb. 14, 2012
Tax Questions, Capital Gains & Losses
Questions or comments regarding a capital gains tax or a capital loss should be directed to the Internal Revenue Service.
Nov. 4, 2002
Tax-Free vs. Taxable Yield Comparison Calculator
Jan. 7, 2008
Telephone Calls From Brokers
Oct. 12, 2000
Telephone Numbers at the SEC
Jan. 11, 2000
Tender Offer
Jan. 16, 2013
Threshold Securities
April 18, 2005
Tracking Stocks
Sept. 3, 2004
Trade Execution
Dec. 8, 1999
Trade Execution: Rules Your Brokerage Firm Must Follow
Jan. 16, 2013
Trading Halts and Delays
July 23, 2010
Trading Suspensions
June 7, 2011
Transfer Agents
March 2, 2012
Transfer on Death (TOD) Registration
May 16, 2011
Transferring Your Brokerage Account
Account transfers are generally completed without a problem, often within two to three weeks.
Jan. 26, 2000
Treasury Securities
April 19, 2001
Ultra-Short Bond Funds
July 23, 2010
Unauthorized Transactions
Feb. 14, 2012
Unit Investment Trusts (UITS)
Jan. 16, 2013
Unsolicited Quotations
Jan. 16, 2013
Variable Annuities
May 3, 2012
Variable Annuities - Free Look Period
A period of 10 or more days during which a contract can be terminated without paying any surrender charges, and a refund can be received.
Oct. 13, 2004
Variable Annuities - Living Benefits
Certain protections for payouts, withdrawals, or account values against investment losses and/or unexpected longevity are commonly offered with variable annuities, usually for a fee.
May 3, 2012
Variable Annuities - What You Should Know (pdf)
Feb. 19, 2014
Variable Annuity Surrender Charges
A type of sales charge that must be paid if money is withdrawn or if the variable annuity is sold during the "surrender period.”
July 28, 2001
Viatical Settlements
May 21, 2004
Voting Rights - Exercise your Shareholder Voting Rights in Corporate Elections (pdf)
Feb. 19, 2014
Wash Sales
March 28, 2008
XBRL - Voluntary Financial Reporting on the EDGAR System
Oct. 12, 2005
Zero Coupon Bonds
March 29, 2010
Subscribe RSS

Title

Title: "Ask" Price

Last Updated: May 9, 2011

Title: "Bid" Price

Last Updated: May 9, 2011

Title: "E" Added to Stock Ticker Symbol

Last Updated: Oct. 15, 2012

Title: "Ponzi" Schemes

Last Updated: Oct. 9, 2013

Title: "Pre-IPO" Investing

Last Updated: Sept. 6, 2011

Title: "Prime Bank" Investments

Last Updated: Sept. 18, 2000

Title: "Q" Added To Stock Ticker Symbol

Last Updated: Oct. 15, 2012

Title: 10-K, How to Read

Last Updated: July 1, 2011

Title: 12b-1 Fees

Last Updated: Nov. 8, 2013

Title: 8-K, How to Read

Last Updated: May 1, 2012

Title: Accounts -- Opening a Brokerage Account

Last Updated: March 26, 2008

Title: Accredited Investors

Last Updated: July 16, 2012

Title: Advance Fee Fraud

Last Updated: April 28, 2010

Title: After-Hours Trading

Last Updated: May 25, 2011

Title: All-Or-None Order

Last Updated: March 10, 2011

Title: American Depositary Receipts

Last Updated: Jan. 31, 2007

Title: Analyst Recommendations

Last Updated: Sept. 6, 2011

Title: Annual Report

Last Updated: Oct. 15, 2014

Title: Annuities

Last Updated: April 6, 2011

Title: Arbitration

Last Updated: Aug. 20, 2013

Title: Arbitration, Limited Appeal Rights, SEC role

Last Updated: March 8, 2013

Title: Arbitration/Mediation, Clinics

Last Updated: Feb. 4, 2014

Title: Ask Questions

Last Updated: Oct. 12, 2000

Title: Banking Regulators

Last Updated: Jan. 13, 2012

Title: Bankruptcy

Last Updated: Oct. 16, 2014

Title: Best Execution

Last Updated: May 9, 2011

Title: Blank Check Company

Last Updated: Aug. 10, 2012

Title: Blue Sky Laws

Last Updated: Oct. 14, 2014

Title: Boiler Room

Last Updated: May 25, 2000

Title: Bond Funds

Last Updated: March 29, 2010

Title: Bond Swaps

Last Updated: Sept. 7, 2004

Title: Bond Terms

Last Updated: Oct. 17, 2014

Title: Bonds

Last Updated: Oct. 17, 2014

Title: Bonds, Callable or Redeemable

Last Updated: April 4, 2008

Title: Bonds, Corporate

Last Updated: June 4, 2008

Title: Bonds, Late Payment of Interest

Last Updated: Feb. 6, 2007

Title: Bonds, Municipal

Last Updated: Jan. 28, 2011

Title: Bonds, Selling Before Maturity

Last Updated: Dec. 14, 2010

Title: Bonus Credits, Annuities

Last Updated: Aug. 15, 2001

Title: Book Entry

Last Updated: Oct. 5, 2005

Title: Breakpoint Discounts

Last Updated: July 28, 2010

Title: Broker Dealer Record-Keeping Requirements

Last Updated: Jan. 14, 2013

Title: Broker Dealer Registration

Last Updated: Jan. 14, 2013

Title: Broker Dealer Registration: Where to File

Last Updated: July 25, 2013

Title: Brokerage Orders

Last Updated: Dec. 12, 2011

Title: Brokers and Advisers

Last Updated: Feb. 14, 2012

Title: Bulletin Boards

Last Updated: Oct. 15, 2012

Title: CUSIP Number

Last Updated: Jan. 31, 2006

Title: Canadian Tax-Deferred Retirement Savings Accounts

Last Updated: Jan. 11, 2005

Title: Cash Account

Last Updated: Feb. 24, 2011

Title: Central Registration Depository, CRD

Last Updated: Feb. 14, 2012

Title: Certificates of Deposit

Last Updated: Aug. 30, 2004

Title: Churning

Last Updated: Jan. 15, 2013

Title: Class Actions

Last Updated: Oct. 11, 2005

Title: Closed-End Funds

Last Updated: Jan. 16, 2013

Title: Closing Price

Last Updated: Oct. 15, 2012

Title: Cold Calling

Last Updated: Feb. 14, 2012

Title: Collaterized Mortgage Obligations (CMOs)

Last Updated: Sept. 2, 2011

Title: Comment Letters

Last Updated: April 18, 2011

Title: Commodity Futures Trading Commission

Last Updated: May 26, 2010

Title: Companies, Going Public

Last Updated: Oct. 14, 2014

Title: Complaints, How We Handle

Last Updated: Nov. 30, 1999

Title: Complaints, What To Do

Last Updated: Nov. 30, 1999

Title: Consolidated Tape

Last Updated: Oct. 15, 2012

Title: Contacting the SEC

Last Updated: July 14, 2000

Title: Convertible Securities

Last Updated: Aug. 10, 2012

Title: Corporate Reports, How To Get

Last Updated: July 23, 2010

Title: Cost Basis for Securities Transactions

Last Updated: Oct. 11, 2005

Title: Credit Reports, Disputing An Inaccurate Report

Last Updated: May 26, 2010

Title: Cumulative Voting

Last Updated: Oct. 14, 2014

Title: DTC, Chills at The Depository Trust Company

Last Updated: Aug. 2, 2012

Title: DTC, Freezes at The Depository Trust Company

Last Updated: Aug. 2, 2012

Title: Day Orders

Last Updated: March 10, 2011

Title: Day Trade

Last Updated: Feb. 10, 2011

Title: Day Trading

Last Updated: Feb. 10, 2011

Title: Defunct Company, Stock Continues to Trade

Last Updated: Jan. 15, 2013

Title: Derivatives

Last Updated: May 25, 2000

Title: Disaster-related Investment Scams

Last Updated: Oct. 17, 2014

Title: EDGAR, How To Use

Last Updated: Nov. 9, 1999

Title: Electronic Communication Networks (ECNs)

Last Updated: Sept. 25, 2013

Title: Electronic Mailboxes at the SEC

Last Updated: Jan. 11, 2000

Title: Employee Stock Options Plans

Last Updated: March 29, 2010

Title: Employee Stock Ownership Plans (ESOPs)

Last Updated: Nov. 5, 2012

Title: Equity-Linked CDs

Last Updated: Oct. 12, 2006

Title: Escheatment Process

Last Updated: June 25, 2007

Title: Exchange-Traded Funds (ETFs)

Last Updated: Nov. 8, 2013

Title: Executive Compensation

Last Updated: Sept. 2, 2011

Title: Fair Disclosure, Regulation FD

Last Updated: Aug. 30, 2004

Title: Federal Laws

Last Updated: July 25, 2005

Title: Federal Securities Laws

Last Updated: Oct. 1, 2013

Title: Federal Securities Laws

Last Updated: March 29, 2010

Title: Filing and Registration Fees

Last Updated: April 4, 2008

Title: Fill-Or-Kill Order

Last Updated: March 10, 2011

Title: Financial Planners

Last Updated: Aug. 20, 2008

Title: Foreign Regulators

Last Updated: May 8, 2009

Title: Form 10-K

Last Updated: June 26, 2009

Title: Form 10-Q

Last Updated: Sept. 2, 2011

Title: Form 1099

Last Updated: Feb. 7, 2002

Title: Form 144

Last Updated: Dec. 5, 2012

Title: Form 8-K

Last Updated: Aug. 10, 2012

Title: Form ADV

Last Updated: March 11, 2011

Title: Form D

Last Updated: Aug. 10, 2012

Title: Forms 3, 4, 5

Last Updated: Jan. 15, 2013

Title: Freeriding

Last Updated: Feb. 24, 2011

Title: Freeze

Last Updated: Feb. 24, 2011

Title: Frequently Asked Questions

Last Updated: April 7, 2010

Title: Frequently Requested Search Terms

Last Updated: June 28, 2011

Title: Going Private

Last Updated: Sept. 2, 2011

Title: Good-Til-Cancelled Order

Last Updated: March 10, 2011

Title: Hedge Funds

Last Updated: Dec. 4, 2012

Title: High-Yield Investment Programs

Last Updated: June 25, 2013

Title: Holding Your Securities

Last Updated: July 25, 2012

Title: Home Mortgage Loans

Last Updated: July 11, 2011

Title: Immediate-Or-Cancel Order

Last Updated: March 10, 2011

Title: Impersonators, Investor Alert

Last Updated: April 28, 2010

Title: Index Funds

Last Updated: May 14, 2007

Title: Information Matters

Last Updated: May 11, 2011

Title: Initial Public Offerings (IPO)

Last Updated: May 31, 2013

Title: Initial Public Offerings, Pricing Differences

Last Updated: Sept. 6, 2011

Title: Initial Public Offerings: Lockup Agreements

Last Updated: Sept. 6, 2011

Title: Insider Trading

Last Updated: Jan. 15, 2013

Title: Internalization

Last Updated: March 20, 2000

Title: International Investing

Last Updated: Sept. 2, 2011

Title: Internet Fraud

Last Updated: June 25, 2013

Title: Interval Funds

Last Updated: Jan. 15, 2013

Title: Investigations by the SEC

Last Updated: Jan. 19, 2012

Title: Investment Adviser Public Disclosure (IAPD)

Last Updated: Dec. 14, 2010

Title: Investment Adviser Registration Depository (IARD)

Last Updated: Dec. 14, 2010

Title: Investment Advisers

Last Updated: Dec. 14, 2010

Title: Investment Clubs

Last Updated: May 9, 2011

Title: Investment Companies

Last Updated: July 9, 2013

Title: Investment Company, Shareholders' Information

Last Updated: April 15, 2010

Title: Investors Claims Funds

Last Updated: Oct. 5, 2000

Title: Late Trading

Last Updated: Oct. 12, 2005

Title: Lawyer Referrals

Last Updated: July 31, 2007

Title: Limit Orders

Last Updated: March 10, 2011

Title: Listing and Delisting Requirements

Last Updated: Oct. 15, 2012

Title: Lost or Stolen Stock Certificates

Last Updated: Dec. 20, 2011

Title: Manipulation

Last Updated: March 28, 2008

Title: Margin

Last Updated: Sept. 22, 2004

Title: Margin Position Sellouts

Last Updated: Feb. 14, 2012

Title: Market Capitalization

Last Updated: June 25, 2007

Title: Market Centers: Buying and Selling Stock

Last Updated: Oct. 15, 2012

Title: Market Indices

Last Updated: Oct. 15, 2012

Title: Market Maker

Last Updated: March 17, 2000

Title: Market Order

Last Updated: March 9, 2011

Title: Market Volatility Procedures and Circuit Breakers

Last Updated: July 24, 2012

Title: Medallion Signature Guarantees

Last Updated: Dec. 20, 2008

Title: Mediation

Last Updated: Feb. 14, 2012

Title: Mergers

Last Updated: Jan. 15, 2013

Title: Microcap Stock

Last Updated: June 25, 2007

Title: Mini-Tender Offers

Last Updated: March 29, 2010

Title: Money Market Fund

Last Updated: Jan. 16, 2013

Title: Mortgage-Backed Securities

Last Updated: July 23, 2010

Title: Mutual Fund Classes

Last Updated: July 9, 2013

Title: Mutual Fund Cost Calculator

Last Updated: July 28, 2010

Title: Mutual Fund Directory

Last Updated: April 10, 2007

Title: Mutual Fund Fees and Expenses

Last Updated: Jan. 15, 2013

Title: Mutual Fund Prospectus

Last Updated: July 28, 2010

Title: Mutual Fund Redemptions, What You Should Know

Last Updated: July 28, 2010

Title: Mutual Funds

Last Updated: Dec. 14, 2010

Title: Mutual Funds, Past Performance

Last Updated: July 28, 2010

Title: Naked Short Sales

Last Updated: July 23, 2010

Title: Nasdaq

Last Updated: April 18, 2011

Title: National Securities Exchanges

Last Updated: Aug. 30, 2012

Title: Net Asset Value

Last Updated: July 9, 2013

Title: Nigerian "Advance Fee Fraud" Schemes

Last Updated: April 28, 2010

Title: No Action Letters

Last Updated: Sept. 21, 2012

Title: OTC Bulletin Board (OTCBB)

Last Updated: Oct. 25, 2012

Title: OTC Bulletin Board (OTCBB) Eligibility Rule

Last Updated: Aug. 30, 2004

Title: Oil and Gas

Last Updated: Oct. 15, 2014

Title: Old Stock and Bond Certificates

Last Updated: Jan. 9, 2013

Title: Online Investment Newsletters

Last Updated: Aug. 30, 2004

Title: Online Message Boards

Last Updated: July 5, 2000

Title: Online Trading

Last Updated: March 26, 2008

Title: Options Trading

Last Updated: July 23, 2010

Title: PIPE Offerings

Last Updated: May 19, 2005

Title: Pattern Day Trader

Last Updated: Feb. 10, 2011

Title: Payment for Order Flow

Last Updated: June 25, 2007

Title: Penny Stock Rules

Last Updated: May 9, 2013

Title: Pink Sheets

Last Updated: May 9, 2013

Title: Promissory Notes

Last Updated: Sept. 2, 2011

Title: Proxy Statements

Last Updated: June 1, 2011

Title: Proxy Statements: How to Find

Last Updated: Aug. 14, 2003

Title: Public Company Accounting Oversight Board (PCAOB)

Last Updated: Jan. 16, 2013

Title: Public Documents: How to Request Public Documents

Last Updated: Oct. 25, 2013

Title: Publications

Last Updated: Oct. 12, 2000

Title: Pump and Dump

Last Updated: June 25, 2013

Title: Pyramid Schemes

Last Updated: Oct. 9, 2013

Title: Quiet Period

Last Updated: Sept. 2, 2011

Title: Real Estate Investment Trusts (REITS)

Last Updated: Jan. 17, 2012

Title: Registration Under the Securities Act of 1933

Last Updated: Sept. 2, 2011

Title: Regulation D Offerings

Last Updated: Dec. 2, 2009

Title: Regulation SHO

Last Updated: April 18, 2005

Title: Retirement Questions and Complaints

Last Updated: Oct. 4, 2012

Title: Reverse Stock Splits

Last Updated: Nov. 3, 2000

Title: Rule 504 of Regulation D

Last Updated: Dec. 2, 2009

Title: Rule 505 of Regulation D

Last Updated: Dec. 2, 2009

Title: Rule 506 of Regulation D

Last Updated: Oct. 6, 2014

Title: Rulemaking, How It Works

Last Updated: April 6, 2011

Title: SEC's Test Your Money Smarts

Last Updated: Feb. 3, 2001

Title: Sales Practice Abuses

Last Updated: May 5, 2005

Title: Saving Bonds

Last Updated: Aug. 7, 2012

Title: Savings Bond Calculator

Last Updated: Feb. 6, 2007

Title: Schedule 13D

Last Updated: Dec. 5, 2012

Title: Section 31 Transaction Fees

Last Updated: Sept. 25, 2013

Title: Securities Act Rule 144

Last Updated: Jan. 16, 2013

Title: Securities Investor Protection Corporation (SIPC)

Last Updated: March 27, 2012

Title: Securities Regulators, State

Last Updated: March 29, 2010

Title: Securities and Exchange Commission

Last Updated: Dec. 21, 1999

Title: Security Power

Last Updated: Sept. 14, 2005

Title: Selling Short Against the Box

Last Updated: Aug. 15, 2007

Title: Series 7 Examination

Last Updated: March 26, 2008

Title: Settling Securities Transactions, T+3

Last Updated: Feb. 25, 2003

Title: Shareholder's Lists, When You Can Get Them

Last Updated: Jan. 16, 2013

Title: Short Sale Restrictions

Last Updated: Sept. 6, 2011

Title: Short Sale Volume and Transaction Data

Last Updated: March 18, 2011

Title: Short Sales

Last Updated: Sept. 6, 2011

Title: Social Security Retirement Planner

Last Updated: Oct. 5, 2005

Title: Spam

Last Updated: March 1, 2007

Title: Specialists

Last Updated: Oct. 15, 2012

Title: Spiders (SPDRs)

Last Updated: May 27, 2010

Title: Spin-Offs

Last Updated: Sept. 21, 2011

Title: Spread

Last Updated: Dec. 18, 2002

Title: Staff Legal Bulletins

Last Updated: Nov. 5, 2004

Title: State Regulators

Last Updated: March 29, 2010

Title: State Securities Regulators

Last Updated: Jan. 11, 2005

Title: Stock Certificates, Proving Ownership

Last Updated: June 25, 2007

Title: Stock Directory and Prices in the U.S.

Last Updated: May 27, 2010

Title: Stock Funds

Last Updated: March 29, 2010

Title: Stock Splits

Last Updated: March 29, 2010

Title: Stock Tables, How to Read Them

Last Updated: May 26, 2010

Title: Stop Order

Last Updated: March 10, 2011

Title: Stop-Limit Order

Last Updated: March 10, 2011

Title: Street Name

Last Updated: Oct. 5, 2005

Title: Suitability

Last Updated: Feb. 14, 2012

Title: Tax Questions, Capital Gains & Losses

Last Updated: Nov. 4, 2002

Title: Tax-Free vs. Taxable Yield Comparison Calculator

Last Updated: Jan. 7, 2008

Title: Telephone Calls From Brokers

Last Updated: Oct. 12, 2000

Title: Telephone Numbers at the SEC

Last Updated: Jan. 11, 2000

Title: Tender Offer

Last Updated: Jan. 16, 2013

Title: Threshold Securities

Last Updated: April 18, 2005

Title: Tracking Stocks

Last Updated: Sept. 3, 2004

Title: Trade Execution

Last Updated: Dec. 8, 1999

Title: Trading Halts and Delays

Last Updated: July 23, 2010

Title: Trading Suspensions

Last Updated: June 7, 2011

Title: Transfer Agents

Last Updated: March 2, 2012

Title: Transfer on Death (TOD) Registration

Last Updated: May 16, 2011

Title: Transferring Your Brokerage Account

Last Updated: Jan. 26, 2000

Title: Treasury Securities

Last Updated: April 19, 2001

Title: Ultra-Short Bond Funds

Last Updated: July 23, 2010

Title: Unauthorized Transactions

Last Updated: Feb. 14, 2012

Title: Unit Investment Trusts (UITS)

Last Updated: Jan. 16, 2013

Title: Unsolicited Quotations

Last Updated: Jan. 16, 2013

Title: Variable Annuities

Last Updated: May 3, 2012

Title: Variable Annuities - Free Look Period

Last Updated: Oct. 13, 2004

Title: Variable Annuities - Living Benefits

Last Updated: May 3, 2012

Title: Variable Annuities - What You Should Know (pdf)

Last Updated: Feb. 19, 2014

Title: Variable Annuity Surrender Charges

Last Updated: July 28, 2001

Title: Viatical Settlements

Last Updated: May 21, 2004

Title: Wash Sales

Last Updated: March 28, 2008

Title: Zero Coupon Bonds

Last Updated: March 29, 2010

Last Updated

Updated Date: May 9, 2011

Title: "Ask" Price

Updated Date: May 9, 2011

Title: "Bid" Price

Updated Date: Oct. 15, 2012

Title: "E" Added to Stock Ticker Symbol

Updated Date: Oct. 9, 2013

Title: "Ponzi" Schemes

Updated Date: Sept. 6, 2011

Title: "Pre-IPO" Investing

Updated Date: Sept. 18, 2000

Title: "Prime Bank" Investments

Updated Date: Oct. 15, 2012

Title: "Q" Added To Stock Ticker Symbol

Updated Date: July 1, 2011

Title: 10-K, How to Read

Updated Date: Nov. 8, 2013

Title: 12b-1 Fees

Updated Date: May 1, 2012

Title: 8-K, How to Read

Updated Date: March 26, 2008

Title: Accounts -- Opening a Brokerage Account

Updated Date: July 16, 2012

Title: Accredited Investors

Updated Date: April 28, 2010

Title: Advance Fee Fraud

Updated Date: May 25, 2011

Title: After-Hours Trading

Updated Date: March 10, 2011

Title: All-Or-None Order

Updated Date: Jan. 31, 2007

Title: American Depositary Receipts

Updated Date: Sept. 6, 2011

Title: Analyst Recommendations

Updated Date: Oct. 15, 2014

Title: Annual Report

Updated Date: April 6, 2011

Title: Annuities

Updated Date: Aug. 20, 2013

Title: Arbitration

Updated Date: March 8, 2013

Title: Arbitration, Limited Appeal Rights, SEC role

Updated Date: Feb. 4, 2014

Title: Arbitration/Mediation, Clinics

Updated Date: Oct. 12, 2000

Title: Ask Questions

Updated Date: Jan. 13, 2012

Title: Banking Regulators

Updated Date: Oct. 16, 2014

Title: Bankruptcy

Updated Date: May 9, 2011

Title: Best Execution

Updated Date: Aug. 10, 2012

Title: Blank Check Company

Updated Date: Oct. 14, 2014

Title: Blue Sky Laws

Updated Date: May 25, 2000

Title: Boiler Room

Updated Date: March 29, 2010

Title: Bond Funds

Updated Date: Sept. 7, 2004

Title: Bond Swaps

Updated Date: Oct. 17, 2014

Title: Bond Terms

Updated Date: Oct. 17, 2014

Title: Bonds

Updated Date: April 4, 2008

Title: Bonds, Callable or Redeemable

Updated Date: June 4, 2008

Title: Bonds, Corporate

Updated Date: Feb. 6, 2007

Title: Bonds, Late Payment of Interest

Updated Date: Jan. 28, 2011

Title: Bonds, Municipal

Updated Date: Dec. 14, 2010

Title: Bonds, Selling Before Maturity

Updated Date: Aug. 15, 2001

Title: Bonus Credits, Annuities

Updated Date: Oct. 5, 2005

Title: Book Entry

Updated Date: July 28, 2010

Title: Breakpoint Discounts

Updated Date: Jan. 14, 2013

Title: Broker Dealer Record-Keeping Requirements

Updated Date: Jan. 14, 2013

Title: Broker Dealer Registration

Updated Date: July 25, 2013

Title: Broker Dealer Registration: Where to File

Updated Date: Dec. 12, 2011

Title: Brokerage Orders

Updated Date: Feb. 14, 2012

Title: Brokers and Advisers

Updated Date: Oct. 15, 2012

Title: Bulletin Boards

Updated Date: Jan. 31, 2006

Title: CUSIP Number

Updated Date: Jan. 11, 2005

Title: Canadian Tax-Deferred Retirement Savings Accounts

Updated Date: Feb. 24, 2011

Title: Cash Account

Updated Date: Feb. 14, 2012

Title: Central Registration Depository, CRD

Updated Date: Aug. 30, 2004

Title: Certificates of Deposit

Updated Date: Jan. 15, 2013

Title: Churning

Updated Date: Oct. 11, 2005

Title: Class Actions

Updated Date: Jan. 16, 2013

Title: Closed-End Funds

Updated Date: Oct. 15, 2012

Title: Closing Price

Updated Date: Feb. 14, 2012

Title: Cold Calling

Updated Date: Sept. 2, 2011

Title: Collaterized Mortgage Obligations (CMOs)

Updated Date: April 18, 2011

Title: Comment Letters

Updated Date: May 26, 2010

Title: Commodity Futures Trading Commission

Updated Date: Oct. 14, 2014

Title: Companies, Going Public

Updated Date: Nov. 30, 1999

Title: Complaints, How We Handle

Updated Date: Nov. 30, 1999

Title: Complaints, What To Do

Updated Date: Oct. 15, 2012

Title: Consolidated Tape

Updated Date: July 14, 2000

Title: Contacting the SEC

Updated Date: Aug. 10, 2012

Title: Convertible Securities

Updated Date: July 23, 2010

Title: Corporate Reports, How To Get

Updated Date: Oct. 11, 2005

Title: Cost Basis for Securities Transactions

Updated Date: May 26, 2010

Title: Credit Reports, Disputing An Inaccurate Report

Updated Date: Oct. 14, 2014

Title: Cumulative Voting

Updated Date: Aug. 2, 2012

Title: DTC, Chills at The Depository Trust Company

Updated Date: Aug. 2, 2012

Title: DTC, Freezes at The Depository Trust Company

Updated Date: March 10, 2011

Title: Day Orders

Updated Date: Feb. 10, 2011

Title: Day Trade

Updated Date: Feb. 10, 2011

Title: Day Trading

Updated Date: Jan. 15, 2013

Title: Defunct Company, Stock Continues to Trade

Updated Date: May 25, 2000

Title: Derivatives

Updated Date: Oct. 17, 2014

Title: Disaster-related Investment Scams

Updated Date: Nov. 9, 1999

Title: EDGAR, How To Use

Updated Date: Sept. 25, 2013

Title: Electronic Communication Networks (ECNs)

Updated Date: Jan. 11, 2000

Title: Electronic Mailboxes at the SEC

Updated Date: March 29, 2010

Title: Employee Stock Options Plans

Updated Date: Nov. 5, 2012

Title: Employee Stock Ownership Plans (ESOPs)

Updated Date: Oct. 12, 2006

Title: Equity-Linked CDs

Updated Date: June 25, 2007

Title: Escheatment Process

Updated Date: Nov. 8, 2013

Title: Exchange-Traded Funds (ETFs)

Updated Date: Sept. 2, 2011

Title: Executive Compensation

Updated Date: Aug. 30, 2004

Title: Fair Disclosure, Regulation FD

Updated Date: July 25, 2005

Title: Federal Laws

Updated Date: Oct. 1, 2013

Title: Federal Securities Laws

Updated Date: March 29, 2010

Title: Federal Securities Laws

Updated Date: April 4, 2008

Title: Filing and Registration Fees

Updated Date: March 10, 2011

Title: Fill-Or-Kill Order

Updated Date: Aug. 20, 2008

Title: Financial Planners

Updated Date: May 8, 2009

Title: Foreign Regulators

Updated Date: June 26, 2009

Title: Form 10-K

Updated Date: Sept. 2, 2011

Title: Form 10-Q

Updated Date: Feb. 7, 2002

Title: Form 1099

Updated Date: Dec. 5, 2012

Title: Form 144

Updated Date: Aug. 10, 2012

Title: Form 8-K

Updated Date: March 11, 2011

Title: Form ADV

Updated Date: Aug. 10, 2012

Title: Form D

Updated Date: Jan. 15, 2013

Title: Forms 3, 4, 5

Updated Date: Feb. 24, 2011

Title: Freeriding

Updated Date: Feb. 24, 2011

Title: Freeze

Updated Date: April 7, 2010

Title: Frequently Asked Questions

Updated Date: June 28, 2011

Title: Frequently Requested Search Terms

Updated Date: Sept. 2, 2011

Title: Going Private

Updated Date: March 10, 2011

Title: Good-Til-Cancelled Order

Updated Date: Dec. 4, 2012

Title: Hedge Funds

Updated Date: June 25, 2013

Title: High-Yield Investment Programs

Updated Date: July 25, 2012

Title: Holding Your Securities

Updated Date: July 11, 2011

Title: Home Mortgage Loans

Updated Date: March 10, 2011

Title: Immediate-Or-Cancel Order

Updated Date: April 28, 2010

Title: Impersonators, Investor Alert

Updated Date: May 14, 2007

Title: Index Funds

Updated Date: May 11, 2011

Title: Information Matters

Updated Date: May 31, 2013

Title: Initial Public Offerings (IPO)

Updated Date: Sept. 6, 2011

Title: Initial Public Offerings, Pricing Differences

Updated Date: Sept. 6, 2011

Title: Initial Public Offerings: Lockup Agreements

Updated Date: Jan. 15, 2013

Title: Insider Trading

Updated Date: March 20, 2000

Title: Internalization

Updated Date: Sept. 2, 2011

Title: International Investing

Updated Date: June 25, 2013

Title: Internet Fraud

Updated Date: Jan. 15, 2013

Title: Interval Funds

Updated Date: Jan. 19, 2012

Title: Investigations by the SEC

Updated Date: Dec. 14, 2010

Title: Investment Adviser Public Disclosure (IAPD)

Updated Date: Dec. 14, 2010

Title: Investment Adviser Registration Depository (IARD)

Updated Date: Dec. 14, 2010

Title: Investment Advisers

Updated Date: May 9, 2011

Title: Investment Clubs

Updated Date: July 9, 2013

Title: Investment Companies

Updated Date: April 15, 2010

Title: Investment Company, Shareholders' Information

Updated Date: Oct. 5, 2000

Title: Investors Claims Funds

Updated Date: Oct. 12, 2005

Title: Late Trading

Updated Date: July 31, 2007

Title: Lawyer Referrals

Updated Date: March 10, 2011

Title: Limit Orders

Updated Date: Oct. 15, 2012

Title: Listing and Delisting Requirements

Updated Date: Dec. 20, 2011

Title: Lost or Stolen Stock Certificates

Updated Date: March 28, 2008

Title: Manipulation

Updated Date: Sept. 22, 2004

Title: Margin

Updated Date: Feb. 14, 2012

Title: Margin Position Sellouts

Updated Date: June 25, 2007

Title: Market Capitalization

Updated Date: Oct. 15, 2012

Title: Market Centers: Buying and Selling Stock

Updated Date: Oct. 15, 2012

Title: Market Indices

Updated Date: March 17, 2000

Title: Market Maker

Updated Date: March 9, 2011

Title: Market Order

Updated Date: July 24, 2012

Title: Market Volatility Procedures and Circuit Breakers

Updated Date: Dec. 20, 2008

Title: Medallion Signature Guarantees

Updated Date: Feb. 14, 2012

Title: Mediation

Updated Date: Jan. 15, 2013

Title: Mergers

Updated Date: June 25, 2007

Title: Microcap Stock

Updated Date: March 29, 2010

Title: Mini-Tender Offers

Updated Date: Jan. 16, 2013

Title: Money Market Fund

Updated Date: July 23, 2010

Title: Mortgage-Backed Securities

Updated Date: July 9, 2013

Title: Mutual Fund Classes

Updated Date: July 28, 2010

Title: Mutual Fund Cost Calculator

Updated Date: April 10, 2007

Title: Mutual Fund Directory

Updated Date: Jan. 15, 2013

Title: Mutual Fund Fees and Expenses

Updated Date: July 28, 2010

Title: Mutual Fund Prospectus

Updated Date: July 28, 2010

Title: Mutual Fund Redemptions, What You Should Know

Updated Date: Dec. 14, 2010

Title: Mutual Funds

Updated Date: July 28, 2010

Title: Mutual Funds, Past Performance

Updated Date: July 23, 2010

Title: Naked Short Sales

Updated Date: April 18, 2011

Title: Nasdaq

Updated Date: Aug. 30, 2012

Title: National Securities Exchanges

Updated Date: July 9, 2013

Title: Net Asset Value

Updated Date: April 28, 2010

Title: Nigerian "Advance Fee Fraud" Schemes

Updated Date: Sept. 21, 2012

Title: No Action Letters

Updated Date: Oct. 25, 2012

Title: OTC Bulletin Board (OTCBB)

Updated Date: Aug. 30, 2004

Title: OTC Bulletin Board (OTCBB) Eligibility Rule

Updated Date: Oct. 15, 2014

Title: Oil and Gas

Updated Date: Jan. 9, 2013

Title: Old Stock and Bond Certificates

Updated Date: Aug. 30, 2004

Title: Online Investment Newsletters

Updated Date: July 5, 2000

Title: Online Message Boards

Updated Date: March 26, 2008

Title: Online Trading

Updated Date: July 23, 2010

Title: Options Trading

Updated Date: May 19, 2005

Title: PIPE Offerings

Updated Date: Feb. 10, 2011

Title: Pattern Day Trader

Updated Date: June 25, 2007

Title: Payment for Order Flow

Updated Date: May 9, 2013

Title: Penny Stock Rules

Updated Date: May 9, 2013

Title: Pink Sheets

Updated Date: Sept. 2, 2011

Title: Promissory Notes

Updated Date: June 1, 2011

Title: Proxy Statements

Updated Date: Aug. 14, 2003

Title: Proxy Statements: How to Find

Updated Date: Jan. 16, 2013

Title: Public Company Accounting Oversight Board (PCAOB)

Updated Date: Oct. 25, 2013

Title: Public Documents: How to Request Public Documents

Updated Date: Oct. 12, 2000

Title: Publications

Updated Date: June 25, 2013

Title: Pump and Dump

Updated Date: Oct. 9, 2013

Title: Pyramid Schemes

Updated Date: Sept. 2, 2011

Title: Quiet Period

Updated Date: Jan. 17, 2012

Title: Real Estate Investment Trusts (REITS)

Updated Date: Sept. 2, 2011

Title: Registration Under the Securities Act of 1933

Updated Date: Dec. 2, 2009

Title: Regulation D Offerings

Updated Date: April 18, 2005

Title: Regulation SHO

Updated Date: Oct. 4, 2012

Title: Retirement Questions and Complaints

Updated Date: Nov. 3, 2000

Title: Reverse Stock Splits

Updated Date: Dec. 2, 2009

Title: Rule 504 of Regulation D

Updated Date: Dec. 2, 2009

Title: Rule 505 of Regulation D

Updated Date: Oct. 6, 2014

Title: Rule 506 of Regulation D

Updated Date: April 6, 2011

Title: Rulemaking, How It Works

Updated Date: Feb. 3, 2001

Title: SEC's Test Your Money Smarts

Updated Date: May 5, 2005

Title: Sales Practice Abuses

Updated Date: Aug. 7, 2012

Title: Saving Bonds

Updated Date: Feb. 6, 2007

Title: Savings Bond Calculator

Updated Date: Dec. 5, 2012

Title: Schedule 13D

Updated Date: Sept. 25, 2013

Title: Section 31 Transaction Fees

Updated Date: Jan. 16, 2013

Title: Securities Act Rule 144

Updated Date: March 27, 2012

Title: Securities Investor Protection Corporation (SIPC)

Updated Date: March 29, 2010

Title: Securities Regulators, State

Updated Date: Dec. 21, 1999

Title: Securities and Exchange Commission

Updated Date: Sept. 14, 2005

Title: Security Power

Updated Date: Aug. 15, 2007

Title: Selling Short Against the Box

Updated Date: March 26, 2008

Title: Series 7 Examination

Updated Date: Feb. 25, 2003

Title: Settling Securities Transactions, T+3

Updated Date: Jan. 16, 2013

Title: Shareholder's Lists, When You Can Get Them

Updated Date: Sept. 6, 2011

Title: Short Sale Restrictions

Updated Date: March 18, 2011

Title: Short Sale Volume and Transaction Data

Updated Date: Sept. 6, 2011

Title: Short Sales

Updated Date: Oct. 5, 2005

Title: Social Security Retirement Planner

Updated Date: March 1, 2007

Title: Spam

Updated Date: Oct. 15, 2012

Title: Specialists

Updated Date: May 27, 2010

Title: Spiders (SPDRs)

Updated Date: Sept. 21, 2011

Title: Spin-Offs

Updated Date: Dec. 18, 2002

Title: Spread

Updated Date: Nov. 5, 2004

Title: Staff Legal Bulletins

Updated Date: March 29, 2010

Title: State Regulators

Updated Date: Jan. 11, 2005

Title: State Securities Regulators

Updated Date: June 25, 2007

Title: Stock Certificates, Proving Ownership

Updated Date: May 27, 2010

Title: Stock Directory and Prices in the U.S.

Updated Date: March 29, 2010

Title: Stock Funds

Updated Date: March 29, 2010

Title: Stock Splits

Updated Date: May 26, 2010

Title: Stock Tables, How to Read Them

Updated Date: March 10, 2011

Title: Stop Order

Updated Date: March 10, 2011

Title: Stop-Limit Order

Updated Date: Oct. 5, 2005

Title: Street Name

Updated Date: Feb. 14, 2012

Title: Suitability

Updated Date: Nov. 4, 2002

Title: Tax Questions, Capital Gains & Losses

Updated Date: Jan. 7, 2008

Title: Tax-Free vs. Taxable Yield Comparison Calculator

Updated Date: Oct. 12, 2000

Title: Telephone Calls From Brokers

Updated Date: Jan. 11, 2000

Title: Telephone Numbers at the SEC

Updated Date: Jan. 16, 2013

Title: Tender Offer

Updated Date: April 18, 2005

Title: Threshold Securities

Updated Date: Sept. 3, 2004

Title: Tracking Stocks

Updated Date: Dec. 8, 1999

Title: Trade Execution

Updated Date: July 23, 2010

Title: Trading Halts and Delays

Updated Date: June 7, 2011

Title: Trading Suspensions

Updated Date: March 2, 2012

Title: Transfer Agents

Updated Date: May 16, 2011

Title: Transfer on Death (TOD) Registration

Updated Date: Jan. 26, 2000

Title: Transferring Your Brokerage Account

Updated Date: April 19, 2001

Title: Treasury Securities

Updated Date: July 23, 2010

Title: Ultra-Short Bond Funds

Updated Date: Feb. 14, 2012

Title: Unauthorized Transactions

Updated Date: Jan. 16, 2013

Title: Unit Investment Trusts (UITS)

Updated Date: Jan. 16, 2013

Title: Unsolicited Quotations

Updated Date: May 3, 2012

Title: Variable Annuities

Updated Date: Oct. 13, 2004

Title: Variable Annuities - Free Look Period

Updated Date: May 3, 2012

Title: Variable Annuities - Living Benefits

Updated Date: Feb. 19, 2014

Title: Variable Annuities - What You Should Know (pdf)

Updated Date: July 28, 2001

Title: Variable Annuity Surrender Charges

Updated Date: May 21, 2004

Title: Viatical Settlements

Updated Date: March 28, 2008

Title: Wash Sales

Updated Date: March 29, 2010

Title: Zero Coupon Bonds