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Definitions tagged as

SEC

  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. Confidential Treatment Application

  19. Deficiency Letter

  20. Dividend Drag

  21. Division Of Corporate Finance

  22. Division Of Enforcement

  23. Earnings Management

  24. EDGAR Public Dissemination Service (PDS) System

  25. Effective Date

  26. Electronic Blue Sheet - EBS

  27. Electronic Data Gathering, Analysis and Retrieval - EDGAR

  28. Erroneous Trade

  29. Fair Funds for Investors

  30. Federal Covered Advisor

  31. Form 144

  32. Form 3

  33. Form 5

  34. Form ADV

  35. Full Disclosure

  36. Insider Information

  37. Insider Trading Act of 1988

  38. Insider Trading Sanctions Act Of 1984

  39. Intrastate Offering

  40. Investment Advisors Act Of 1940

  41. Investment Counsel Association Of America - ICAA

  42. Investor Protection Act

  43. Jumpstart Our Business Startups Act - JOBS

  44. Katie Couric Clause

  45. Large Trader

  46. Legend

  47. Letter Of Comment

  48. Locked Market

  49. Multijurisdictional Disclosure System - MJDS

  50. National Best Bid and Offer - NBBO

  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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