Fast Answers - Key Topics
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.
| Title | Last Updated |
|---|---|
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"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
|
Oct. 21, 2014 |
|
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
|
Oct. 23, 2014 |
|
Arbitration, How to Find a Lawyer Specializing in Securities
|
Aug. 23, 2010 |
|
Arbitration, Limited Appeal Rights, SEC role
|
Oct. 23, 2014 |
|
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.
|
Oct. 28, 2014 |
|
Ask Questions
|
Oct. 12, 2000 |
|
Banking Regulators
|
Jan. 13, 2012 |
|
Bankruptcy
|
Oct. 16, 2014 |
|
Best Execution
|
May 9, 2011 |
|
Blank Check Company
|
Oct. 28, 2014 |
|
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.
|
Oct. 20, 2014 |
|
Bonds, Corporate
Debt securities issued by private and public corporations.
|
Oct. 20, 2014 |
|
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.
|
Oct. 20, 2014 |
|
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
|
Oct. 21, 2014 |
|
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
|
Oct. 23, 2014 |
|
Electronic Communication Networks (ECNs)
|
Sept. 25, 2013 |
|
Electronic Mailboxes at the SEC
|
Jan. 11, 2000 |
|
Employee Stock Options Plans
|
Oct. 23, 2014 |
|
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
|
Oct. 23, 2014 |
|
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.
|
Oct. 21, 2014 |
|
Fair Disclosure, Regulation FD
Rule that aims to promote the full and fair disclosure of information by publicly traded companies and other issuers.
|
Oct. 27, 2014 |
|
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
|
Oct. 28, 2014 |
|
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
|
Feb. 9, 2015 |
|
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
|
Oct. 28, 2014 |
|
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
|
Oct. 27, 2014 |
|
Rule 505 of Regulation D
|
Oct. 27, 2014 |
|
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 |
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: "Restricted" Securities: Removing the Restrictive Legend
Last Updated: Jan. 16, 2013
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: Oct. 21, 2014
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: Oct. 23, 2014
Title: Arbitration, How to Find a Lawyer Specializing in Securities
Last Updated: Aug. 23, 2010
Title: Arbitration, Limited Appeal Rights, SEC role
Last Updated: Oct. 23, 2014
Title: Arbitration/Mediation, Clinics
Last Updated: Oct. 28, 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: Oct. 28, 2014
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: Oct. 20, 2014
Title: Bonds, Corporate
Last Updated: Oct. 20, 2014
Title: Bonds, Late Payment of Interest
Last Updated: Oct. 20, 2014
Title: Bonds, Municipal
Last Updated: Jan. 28, 2011
Title: Bonds, Selling Before Maturity
Last Updated: Oct. 21, 2014
Title: Bonus Credits, Annuities
Last Updated: Aug. 15, 2001
Title: Book Entry
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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: Broker-Dealers: Receiving Your Funds or Securities
Last Updated: Feb. 7, 2000
Title: Broker-Dealers: Why They Ask for Personal Information
Last Updated: Jan. 28, 2014
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
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Title: Contacting the SEC
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Title: Convertible Securities
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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: Direct Investment Plans: Buying Stock Directly from the Company
Last Updated: March 1, 2002
Title: Disaster-related Investment Scams
Last Updated: Oct. 17, 2014
Title: EDGAR, How To Use
Last Updated: Oct. 23, 2014
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: Oct. 23, 2014
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: Ex-Dividend Dates: When Are You Entitled to Stock and Cash Dividends
Last Updated: Oct. 23, 2014
Title: Exchange-Traded Funds (ETFs)
Last Updated: Nov. 8, 2013
Title: Executive Compensation
Last Updated: Oct. 21, 2014
Title: Fair Disclosure, Regulation FD
Last Updated: Oct. 27, 2014
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: Oct. 28, 2014
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 13F-Reports Filed by Institutional Investment Managers
Last Updated: Feb. 9, 2015
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
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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: Holiday Schedules and Trading Hours for the Major Securities Markets
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Title: Home Mortgage Loans
Last Updated: July 11, 2011
Title: Householding Rules, Preventing Duplicate Copies of Prospectuses and Mutual Fund Reports
Last Updated: July 28, 2010
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 About Some Companies Not Available From the SEC
Last Updated: Nov. 26, 2013
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, Why Individuals Have Difficulty Getting Shares
Last Updated: Nov. 24, 1999
Title: Initial Public Offerings: Eligibility To Get Shares at Broker-Dealers
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: Investing: Questions You Should Ask About Your Investments (pdf)
Last Updated: Dec. 5, 2013
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 Registration and Regulation Package
Last Updated: Feb. 19, 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: Nationally Recognized Municipal Securities Information Repositories (NRMSIRs)
Last Updated: Jan. 26, 2011
Title: Nationally Recognized Statistical Rating Organizations (NRSROs)
Last Updated: May 31, 2013
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
Last Updated: Feb. 24, 2009
Title: Registration Under the Securities Act of 1933
Last Updated: Sept. 2, 2011
Title: Regulation D Offerings
Last Updated: Oct. 28, 2014
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: Oct. 27, 2014
Title: Rule 505 of Regulation D
Last Updated: Oct. 27, 2014
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
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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
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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: Trade Execution: Rules Your Brokerage Firm Must Follow
Last Updated: Jan. 16, 2013
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: Voting Rights - Exercise your Shareholder Voting Rights in Corporate Elections (pdf)
Last Updated: Feb. 19, 2014
Title: Wash Sales
Last Updated: March 28, 2008
Title: XBRL - Voluntary Financial Reporting on the EDGAR System
Last Updated: Oct. 12, 2005
Title: Zero Coupon Bonds
Last Updated: March 29, 2010
Updated Date: May 9, 2011
Title: "Ask" Price
Updated Date: May 9, 2011
Title: "Bid" Price
Updated Date: Oct. 15, 2012
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
Updated Date: Jan. 16, 2013
Title: "Restricted" Securities: Removing the Restrictive Legend
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
Updated Date: Oct. 21, 2014
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: Oct. 23, 2014
Title: Arbitration
Updated Date: Aug. 23, 2010
Title: Arbitration, How to Find a Lawyer Specializing in Securities
Updated Date: Oct. 23, 2014
Updated Date: Oct. 28, 2014
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: Oct. 28, 2014
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: Oct. 20, 2014
Updated Date: Oct. 20, 2014
Title: Bonds, Corporate
Updated Date: Oct. 20, 2014
Updated Date: Jan. 28, 2011
Title: Bonds, Municipal
Updated Date: Oct. 21, 2014
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
Updated Date: Jan. 14, 2013
Title: Broker Dealer Registration
Updated Date: July 25, 2013
Updated Date: Feb. 7, 2000
Updated Date: Jan. 28, 2014
Title: Broker-Dealers: Why They Ask for Personal Information
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
Updated Date: Feb. 24, 2011
Title: Cash Account
Updated Date: Feb. 14, 2012
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
Updated Date: April 18, 2011
Title: Comment Letters
Updated Date: May 26, 2010
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
Updated Date: Oct. 11, 2005
Updated Date: May 26, 2010
Updated Date: Oct. 14, 2014
Title: Cumulative Voting
Updated Date: Aug. 2, 2012
Updated Date: Aug. 2, 2012
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
Updated Date: May 25, 2000
Title: Derivatives
Updated Date: March 1, 2002
Title: Direct Investment Plans: Buying Stock Directly from the Company
Updated Date: Oct. 17, 2014
Updated Date: Oct. 23, 2014
Title: EDGAR, How To Use
Updated Date: Sept. 25, 2013
Updated Date: Jan. 11, 2000
Updated Date: Oct. 23, 2014
Title: Employee Stock Options Plans
Updated Date: Nov. 5, 2012
Updated Date: Oct. 12, 2006
Title: Equity-Linked CDs
Updated Date: June 25, 2007
Title: Escheatment Process
Updated Date: Oct. 23, 2014
Title: Ex-Dividend Dates: When Are You Entitled to Stock and Cash Dividends
Updated Date: Nov. 8, 2013
Title: Exchange-Traded Funds (ETFs)
Updated Date: Oct. 21, 2014
Title: Executive Compensation
Updated Date: Oct. 27, 2014
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: Oct. 28, 2014
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: Feb. 9, 2015
Title: Form 13F-Reports Filed by Institutional Investment Managers
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
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
Updated Date: July 25, 2012
Title: Holding Your Securities
Updated Date: May 27, 2010
Title: Holiday Schedules and Trading Hours for the Major Securities Markets
Updated Date: July 11, 2011
Title: Home Mortgage Loans
Updated Date: July 28, 2010
Title: Householding Rules, Preventing Duplicate Copies of Prospectuses and Mutual Fund Reports
Updated Date: March 10, 2011
Title: Immediate-Or-Cancel Order
Updated Date: April 28, 2010
Updated Date: May 14, 2007
Title: Index Funds
Updated Date: Nov. 26, 2013
Title: Information About Some Companies Not Available From the SEC
Updated Date: May 11, 2011
Title: Information Matters
Updated Date: May 31, 2013
Updated Date: Sept. 6, 2011
Updated Date: Nov. 24, 1999
Title: Initial Public Offerings, Why Individuals Have Difficulty Getting Shares
Updated Date: Sept. 6, 2011
Title: Initial Public Offerings: Eligibility To Get Shares at Broker-Dealers
Updated Date: Sept. 6, 2011
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. 5, 2013
Title: Investing: Questions You Should Ask About Your Investments (pdf)
Updated Date: Dec. 14, 2010
Updated Date: Dec. 14, 2010
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: Feb. 19, 2013
Title: Investment Company Registration and Regulation Package
Updated Date: April 15, 2010
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
Updated Date: Dec. 20, 2011
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
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
Updated Date: Dec. 20, 2008
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
Updated Date: July 28, 2010
Title: Mutual Fund Prospectus
Updated Date: July 28, 2010
Updated Date: Dec. 14, 2010
Title: Mutual Funds
Updated Date: July 28, 2010
Updated Date: July 23, 2010
Title: Naked Short Sales
Updated Date: April 18, 2011
Title: Nasdaq
Updated Date: Aug. 30, 2012
Updated Date: Jan. 26, 2011
Title: Nationally Recognized Municipal Securities Information Repositories (NRMSIRs)
Updated Date: May 31, 2013
Title: Nationally Recognized Statistical Rating Organizations (NRSROs)
Updated Date: July 9, 2013
Title: Net Asset Value
Updated Date: April 28, 2010
Updated Date: Sept. 21, 2012
Title: No Action Letters
Updated Date: Oct. 25, 2012
Title: OTC Bulletin Board (OTCBB)
Updated Date: Aug. 30, 2004
Updated Date: Oct. 15, 2014
Title: Oil and Gas
Updated Date: Jan. 9, 2013
Updated Date: Aug. 30, 2004
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
Updated Date: Jan. 16, 2013
Updated Date: Oct. 25, 2013
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
Updated Date: Feb. 24, 2009
Updated Date: Sept. 2, 2011
Updated Date: Oct. 28, 2014
Title: Regulation D Offerings
Updated Date: April 18, 2005
Title: Regulation SHO
Updated Date: Oct. 4, 2012
Updated Date: Nov. 3, 2000
Title: Reverse Stock Splits
Updated Date: Oct. 27, 2014
Title: Rule 504 of Regulation D
Updated Date: Oct. 27, 2014
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
Updated Date: March 29, 2010
Title: Securities Regulators, State
Updated Date: Dec. 21, 1999
Updated Date: Sept. 14, 2005
Title: Security Power
Updated Date: Aug. 15, 2007
Updated Date: March 26, 2008
Title: Series 7 Examination
Updated Date: Feb. 25, 2003
Updated Date: Jan. 16, 2013
Updated Date: Sept. 6, 2011
Title: Short Sale Restrictions
Updated Date: March 18, 2011
Updated Date: Sept. 6, 2011
Title: Short Sales
Updated Date: Oct. 5, 2005
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
Updated Date: May 27, 2010
Updated Date: March 29, 2010
Title: Stock Funds
Updated Date: March 29, 2010
Title: Stock Splits
Updated Date: May 26, 2010
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
Updated Date: Jan. 7, 2008
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: Jan. 16, 2013
Title: Trade Execution: Rules Your Brokerage Firm Must Follow
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
Updated Date: Jan. 26, 2000
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
Updated Date: Jan. 16, 2013
Title: Unsolicited Quotations
Updated Date: May 3, 2012
Title: Variable Annuities
Updated Date: Oct. 13, 2004
Updated Date: May 3, 2012
Updated Date: Feb. 19, 2014
Updated Date: July 28, 2001
Updated Date: May 21, 2004
Title: Viatical Settlements
Updated Date: Feb. 19, 2014
Title: Voting Rights - Exercise your Shareholder Voting Rights in Corporate Elections (pdf)
Updated Date: March 28, 2008
Title: Wash Sales
Updated Date: Oct. 12, 2005
Title: XBRL - Voluntary Financial Reporting on the EDGAR System
Updated Date: March 29, 2010
Title: Zero Coupon Bonds