SEC

  1. Obama Wants to Double Wall Street Regulation

    President Obama wants to double the budgets of the SEC and the CFTC over the next ...
  2. ABC's Madoff Miniseries Explores His Charm, Smarm

    An ABC miniseries on Ponzi scheme king Bernie Madoff gets inside the head of a man ...
  3. Advisors: What to Know Before You Text

    Texting is becoming more popular between clients and financial professionals, but ...
  4. How Likely is a New Fiduciary Rule in 2016?

    New fiduciary standards for advisors working with retirement accounts are on the ...
  5. How to Dodge Brokers Using Smarmy Sales Tactics

    Many finance professionals use illegal, high-pressure sales tactics to sell bad securities ...
  6. Duck These Illegal Sales Tactics Used By Brokers

    Many unscrupulous brokers employ illegal swindling tactics to sell bad securities. ...
  1. Martin Shkreli Arrested on Securities Fraud (KBIO)

    This morning, federal agents arrested Turing Pharmaceuticals CEO Martin Shkreli on ...
  2. Is a Google Robo-Advisor on the Horizon?

    It's possible that Google is looking to get into the robo-advisor business, either ...
  3. SEC to Advisors: Implement Cybersecurity Plans

    Advisors need to take heed of new SEC guidelines to beef up cybersecurity. Here's ...
  4. Why There's No Such Thing As A Stock 'Free Ride'

    If you're not familiar with freeriding and you're trading stocks, you should be. ...
  5. What Happened To Rite Aid Stock In 1999? (RAD)

    Learn how software glitches, competition from the dot-com craze and a major accounting ...
  6. Popular Resources for Equity Research and Analysis: ...

    This tutorial offers details on the most popular resources for equity research and ...
  1. Popular Resources for Equity Research and Analysis: ...

    This tutorial offers details on the most popular resources for equity research and ...
  1. What is the SEC's escheatment process?

    Learn about how states can take ownership of abandoned property through the process of escheatment. Understand how an owner ...
  2. How are variable annuities regulated?

    Discover the various rules that the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority ...
  3. Are hedge funds registered with the Securities and Exchange Commission (SEC)?

    Learn the conditions that require hedge fund advisors to register with the U.S. Securities and Exchange Commission.
  4. Is a financial advisor allowed to pay a referral fee?

    Understand how financial advisors can legally pay a referral fee to someone for soliciting business, and learn the regulations ...
  1. SEC Filings: Forms You Need to Know

    The forms companies are required to file provide a clear view of their histories ...
Hot Definitions
  1. Socially Responsible Investment - SRI

    An investment that is considered socially responsible because of the nature of the business the company conducts. Common ...
  2. Inverted Yield Curve

    An interest rate environment in which long-term debt instruments have a lower yield than short-term debt instruments of the ...
  3. Presidential Election Cycle (Theory)

    A theory developed by Yale Hirsch that states that U.S. stock markets are weakest in the year following the election of a ...
  4. Super Bowl Indicator

    An indicator based on the belief that a Super Bowl win for a team from the old AFL (AFC division) foretells a decline in ...
  5. Flight To Quality

    The action of investors moving their capital away from riskier investments to the safest possible investment vehicles. This ...
  6. Discouraged Worker

    A person who is eligible for employment and is able to work, but is currently unemployed and has not attempted to find employment ...
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