Words & Phrases Related to "Securities and Exchange Commission (SEC)"

- A -

annual report
anonymous trading

- B -

beneficial ownership
blanket fidelity bond
bulletin board stock

- C -

Central Registration Depository (CRD)
Chicago Stock Exchange (CHX)
Chief Financial Officer (CFO)
closed-end fund
Consolidated Tape Plan (CTP)
Corporate and Criminal Fraud Accountability Act
corporate filing

- E -

EDGAR Online
Electronic Data Gathering Analysis and Retrieval (EDGAR)

- F -

Financial and Operational Combined Uniform Single Report (FOCUS Report)
fiscal quarter
fiscal year (FY)
Foreign Corrupt Practices Act (FCPA)
Form 10K
Form 10Q
Form 8Q
Form S-1
Form S4
Fortune 500 company

- I -

Insider Trading and Securities Fraud Enforcement Act of 1988
Investment Company Amendments Act of 1970

- L -

late day trading

- M -

Maloney Act

- N -

National Securities Markets Improvement Act of 1996 (NSMIA)

- O -

Office Of Compliance Inspections and Examinations (OCIE)
Options Clearing Corporation
Over-The-Counter Market (OTC)

- P -

prospectus
proxy statement
public company

- Q -

quiet period

- R -

Registered Investment Advisor (RIA)
registrant
registration approval
registration statement
Regulation D
Regulation FD
Regulation S X

- S -

Schedule 13D
SEC
Securities Enforcement Remedies and Penny Stock Reform Act of 1990
Securities Exchange Act of 1934
short sale rule
Statement of Additional Information (SAI)

- T -

transparency

- U -

unlisted trade

- W -

waiting period