Fast Answers - Key Topics

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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.

Filter list by specific keywords:

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	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
Brokerage Account – Closing Your Brokerage Account	Aug. 31, 2015
Brokerage Orders Investors have several orders options when it comes to buying and selling securities.	Dec. 12, 2011
Broker-Dealers: Receiving Your Funds or Securities	Feb. 7, 2000
Broker-Dealers: Why They Ask for Personal Information	Jan. 28, 2014
Brokers and Advisers	Feb. 14, 2012
Bulletin Boards	Oct. 15, 2012
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
CUSIP Number	April 27, 2015
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
DTC, Chills at The Depository Trust Company	Aug. 2, 2012
DTC, Freezes at The Depository Trust Company	Aug. 2, 2012
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
Exchange-Traded Funds (ETFs)	Nov. 8, 2013
Ex-Dividend Dates: When Are You Entitled to Stock and Cash Dividends	Oct. 23, 2014
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 Securities Laws	Oct. 1, 2013
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 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 10-K	June 26, 2009
Form 10-Q	Sept. 2, 2011
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 13, 2015
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, 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
Initial Public Offerings (IPO)	May 31, 2013
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, 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
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
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	April 13, 2015
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
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
OTC Bulletin Board (OTCBB)	Oct. 25, 2012
OTC Bulletin Board (OTCBB) Eligibility Rule	Aug. 30, 2004
Pattern Day Trader	Feb. 10, 2011
Payment for Order Flow	June 25, 2007
Penny Stock Rules	May 9, 2013
Pink Sheets	May 9, 2013
PIPE Offerings	May 19, 2005
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.	Sept. 2, 2016
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
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
SEC's Test Your Money Smarts	Feb. 3, 2001
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 and Exchange Commission	Dec. 21, 1999
Securities Investor Protection Corporation (SIPC)	March 27, 2012
Securities Regulators, State	March 29, 2010
Security Power	Sept. 14, 2005
Selling Short Against the Box	Aug. 15, 2007
Series 7 Examination	April 27, 2015
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	April 13, 2015
Short Sale Volume and Transaction Data	Aug. 10, 2016
Short Sales	April 13, 2015
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 13, 2015
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

Last Updated

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

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 Account – Closing Your Brokerage Account

Last Updated: Aug. 31, 2015

Title: Brokerage Orders

Last Updated: Dec. 12, 2011

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: Brokers and Advisers

Last Updated: Feb. 14, 2012

Title: Bulletin Boards

Last Updated: Oct. 15, 2012

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: CUSIP Number

Last Updated: April 27, 2015

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: 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: 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: Exchange-Traded Funds (ETFs)

Last Updated: Nov. 8, 2013

Title: Ex-Dividend Dates: When Are You Entitled to Stock and Cash Dividends

Last Updated: Oct. 23, 2014

Title: Executive Compensation

Last Updated: Oct. 21, 2014

Title: Fair Disclosure, Regulation FD

Last Updated: Oct. 27, 2014

Title: Federal Securities Laws

Last Updated: Oct. 1, 2013

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 1099

Last Updated: Feb. 7, 2002

Title: Form 10-K

Last Updated: June 26, 2009

Title: Form 10-Q

Last Updated: Sept. 2, 2011

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 13, 2015

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: Holiday Schedules and Trading Hours for the Major Securities Markets

Last Updated: May 27, 2010

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, 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: Initial Public Offerings (IPO)

Last Updated: May 31, 2013

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, Shareholders' Information

Last Updated: April 15, 2010

Title: Investment Company Registration and Regulation Package

Last Updated: Feb. 19, 2013

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

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