SEC

  1. TD Asset Management Announces Changes to Money ...

    Learn how TD Asset Management plans to adjust its money fund lineup to address SEC ...
  2. RIAs: Here's What to Know About the Fiduciary ...

    The real impact of the new Department of Labor bill has yet to be felt in the retirement ...
  3. SEC Derivatives Rule May Limit Diversification

    The SEC has proposed rules that will limit the use of derivatives by fund managers. ...
  4. Potential Impact of New Fiduciary Rules on RIAs

    A look at how RIAs and fee-only advisors will be impacted by the DOL's new fiduciary ...
  5. How SEC and DOL Fiduciary Standards Could Differ

    SEC fiduciary standards could differ from what the DOL has proposed, causing more ...
  6. More Reasons for Advisors to Be Wary of the SEC

    It looks like the SEC is expanding its oversight regarding RIA compliance in the ...
  1. Golfer Mickelson Named in Insider Trading Lawsuit ...

    The SEC has ordered him to pay back spoils from insider stock trading tip.
  2. It's 13F Season: Hedge Funds Disclose Holdings ...

    If you ever want to know what the so-called "smart money" is buying and selling, ...
  3. Market Makers Citadel, KCG Investigated by the ...

    The market-making operations of Citadel LLC and KCG Holdings Inc. are under investigation ...
  4. TD Asset Management Announces Changes to Money ...

    Learn how TD Asset Management plans to adjust its money fund lineup to address SEC ...
  5. Alibaba Surpasses Wal-Mart as World's Top Retailer ...

    Based on the company's recent milestones and rising transaction volume, Alibaba is ...
  6. The IEX Index: 5 Reasons You Should Care (RY, ...

    Discover five reasons why every investor should care about how Brad Katsuyama and ...
  1. Popular Resources for Equity Research and Analysis: ...

    This tutorial offers details on the most popular resources for equity research and ...
  1. What exactly is insider trading?

    An "insider" is any person who possesses at least one of the following: 1) access to valuable non-public information about ...
  2. 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 ...
  3. How are variable annuities regulated?

    Discover the various rules that the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority ...
  4. 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.
  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. MACD Technical Indicator

    Moving Average Convergence Divergence (or MACD) is a trend-following momentum indicator that shows the relationship between ...
  2. Over-The-Counter - OTC

    Over-The-Counter (or OTC) is a security traded in some context other than on a formal exchange such as the NYSE, TSX, AMEX, ...
  3. Quarter - Q1, Q2, Q3, Q4

    A three-month period on a financial calendar that acts as a basis for the reporting of earnings and the paying of dividends.
  4. Weighted Average Cost Of Capital - WACC

    Weighted average cost of capital (WACC) is a calculation of a firm's cost of capital in which each category of capital is ...
  5. Basis Point (BPS)

    A unit that is equal to 1/100th of 1%, and is used to denote the change in a financial instrument. The basis point is commonly ...
  6. Sharing Economy

    An economic model in which individuals are able to borrow or rent assets owned by someone else.
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