1. SEC Enforcement Actions Dip Below 2015 Record

    The number of enforcement actions brought by the SEC this year is below the record ...
  2. What Is a 13F and When Is It Useful?

    13F filings are a valuable way of tracking the investment strategies of industry ...
  3. An SEC Database for Checking Up on Competition

    Financial advisors can use the IAPD disclosure site, which is operated by the SEC, ...
  4. Rookie Day Trading Tips: Don't Play it by Ear

    If you want to start day trading as a rookie, follow these guidelines.
  5. You'd Better Know Your High-Frequency Trading ...

    The upsurge of investor interest in high-frequency trading (HFT) makes it important ...
  6. SEC to Audit RIAs Over Mutual Fund Share Classes

    The SEC plans to monitor the share classes that RIAs use when they invest their clients’ ...
  1. Corporate Insider Transactions That Took Place ...

    Corporate insiders at PepsiCo, Microsoft and Starbucks sold shares last week.
  2. SEC Investigating Tesla For Potential Violations ...

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

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

    Let's take a look at billionaire hedge fund manager John Paulson's Q1 investments ...
  5. 4 Reasons for the IPO Market Slowdown in 2016 ...

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

    Morgan Stanley will pay a $1 million fine for a data theft, in which information ...
  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 ...
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