Securities and Exchange Commission (SEC)
A federal agency charged with providing oversight and enforcement of the securities industry, including responsibility for registering, regulating and overseeing brokerage firms, clearinghouses, and self-regulatory organizations. On the Web at www.sec.gov.
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Chief Financial Officer (CFO)
beneficial ownership
Form S4
quiet period
closed-end fund
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prepay
Securities Industry and Financial Markets Association
investment analyst
Bucketing
merger accounting