Definitions tagged as

SEC

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  1. 10-K Wrap

  2. 19c3 Stock

  3. 3C1

  4. 3C7

  5. 500 Investor Rule

  6. Accounting Series Releases - ASRs

  7. ADV Form

  8. All-Holders Rule

  9. Alternative Trading System - ATS

  10. Audit Trail

  11. Authorized Investment

  12. Backing Away

  13. Best Bid

  14. Best-Price Rule - Rule 14D-10

  15. Blue Sheets

  16. Cash Flow Statement

  17. Compliance Program

  18. Comprehensive Automated Risk Data System (CARDS)

  19. Confidential Treatment Application

  20. Deficiency Letter

  21. Dividend Drag

  22. Division Of Corporate Finance

  23. Division Of Enforcement

  24. Earnings Management

  25. EDGAR Public Dissemination Service (PDS) System

  26. Effective Date

  27. Electronic Blue Sheet - EBS

  28. Electronic Data Gathering, Analysis and Retrieval - EDGAR

  29. Erroneous Trade

  30. Fair Funds for Investors

  31. Federal Covered Advisor

  32. Form 144

  33. Form 3

  34. Form 5

  35. Form ADV

  36. Full Disclosure

  37. Insider Information

  38. Insider Trading Act of 1988

  39. Insider Trading Sanctions Act Of 1984

  40. Intrastate Offering

  41. Investment Advisors Act Of 1940

  42. Investment Counsel Association Of America - ICAA

  43. Investor Protection Act

  44. Jumpstart Our Business Startups Act - JOBS

  45. Katie Couric Clause

  46. Large Trader

  47. Legend

  48. Letter Of Comment

  49. Locked Market

  50. Multijurisdictional Disclosure System - MJDS

  51. Non-Covered Security

  52. Option Schedule

  53. Options Backdating

  54. Options Clearing Corporation - OCC

  55. Over-The-Counter Bulletin Board - OTCBB

  56. Pre-Syndicate Bid

  57. Preliminary Prospectus

  58. Proxy Statement

  59. Public Offering

  60. Qualified Institutional Buyer - QIB

  61. Quiet Filing

  62. Quiet Period

  63. Red Herring

  64. Registered Investment Advisor - RIA

  65. Restatement

  66. Restricted Stock

  67. Retired Securities

  68. Rule 10b-18

  69. Rule 10b-6

  70. Rule 144

  71. Rule 144A

  72. S-8 Filing

  73. Schedule 13D

  74. Schedule 13E-4

  75. Schedule 13E-4F

  76. Schedule 13G

  77. Schedule 14D-9

  78. Schedule 14D-9F

  79. Schedule TO-T

  80. SEC DEL AM Filing

  81. SEC Fee

  82. SEC Form 1

  83. SEC Form 1-A

  84. SEC Form 1-E

  85. SEC Form 1-N

  86. SEC Form 10

  87. SEC Form 10-12B

  88. SEC Form 10-12G

  89. SEC Form 10-C

  90. SEC Form 10-D

  91. SEC Form 10-K405

  92. SEC Form 10-KSB

  93. SEC Form 10-KSB405

  94. SEC Form 10-KT

  95. SEC Form 10-KT405

  96. SEC Form 10-Q

  97. SEC Form 10-QSB

  98. SEC Form 10-QT

  99. SEC Form 10-SB

  100. SEC Form 10SB12B

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