SEC

  1. BD Loans Raise Fines, Conflict of Interest Worries

    This week, the SEC levied fines against two RIAs for failing to disclose to clients ...
  2. Pay-to-Play Rule Back in Spotlight with Pence ...

    The SEC pay-to-play rule, which limits campaign contributions from financial advisors, ...
  3. SEC Investigating Tesla For Potential Violations ...

    Tesla is under investigation by the SEC to determine whether the company violated ...
  4. Is the SEC Trying to Prevent the Next Crash?

    Find out why the Securities and Exchange Commission wants to crack down on accounting ...
  5. CalPERS vs. CalSTRS: Assessing Their Portfolios

    Monitor the success of CalSTRS toward achieving annual returns of 7.5% with the risk ...
  6. Billionaire John Paulson's Q1 Biotechs: AGN, ...

    Let's take a look at billionaire hedge fund manager John Paulson's Q1 investments ...
  1. SEC Investigating Tesla For Potential Violations ...

    Tesla is under investigation by the SEC to determine whether the company violated ...
  2. CalPERS vs. CalSTRS: Assessing Their Portfolios

    Monitor the success of CalSTRS toward achieving annual returns of 7.5% with the risk ...
  3. Billionaire John Paulson's Q1 Biotechs: AGN, ...

    Let's take a look at billionaire hedge fund manager John Paulson's Q1 investments ...
  4. 4 Reasons for the IPO Market Slowdown in 2016 ...

    Pay attention to the length of time a company waits before going public and whether ...
  5. Hacking Gets Serious: Morgan Stanley to Pay $1 ...

    Morgan Stanley will pay a $1 million fine for a data theft, in which information ...
  6. The Top 4 General Electric Shareholders (GE)

    Pay attention to whether the amount of stock awarded to General Electric’s largest ...
  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. Duration

    A measure of the sensitivity of the price (the value of principal) of a fixed-income investment to a change in interest rates. ...
  2. Dove

    An economic policy advisor who promotes monetary policies that involve the maintenance of low interest rates, believing that ...
  3. Cyclical Stock

    An equity security whose price is affected by ups and downs in the overall economy. Cyclical stocks typically relate to companies ...
  4. Front Running

    The unethical practice of a broker trading an equity based on information from the analyst department before his or her clients ...
  5. After-Hours Trading - AHT

    Trading after regular trading hours on the major exchanges. The increasing popularity of electronic communication networks ...
  6. Omnibus Account

    An account between two futures merchants (brokers). It involves the transaction of individual accounts which are combined ...
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