Definitions tagged as

SEC

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  1. SEC Form 35-APP

  2. SEC Form PX14A6G

  3. SEC Form DEFM14C

  4. SEC Form DEFS14C

  5. SEC Form PREM14C

  6. SEC Form PRES14C

  7. SEC Form T-1

  8. SEC Form T-2

  9. SEC Form T-3

  10. SEC Form U-13-1

  11. SEC Form U-13-60

  12. SEC Form U-13E-1

  13. SEC Form U-33-S

  14. SEC Form U-57

  15. SEC Form U-6B-2

  16. SEC Form U-7D

  17. SEC Form 10-KT405

  18. SEC Form NT 10-K

  19. SEC Form 10-K405

  20. SEC Form 11-KT

  21. SEC Form NT-NSAR

  22. 10-K Wrap

  23. 3C1

  24. 3C7

  25. ADV Form

  26. All-Holders Rule

  27. Audit Trail

  28. Authorized Investment

  29. Backing Away

  30. Best Bid

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

  32. Blue Sheets

  33. Cash Flow Statement

  34. Confidential Treatment Application

  35. Deficiency Letter

  36. Dividend Drag

  37. Effective Date

  38. Electronic Data Gathering, Analysis and Retrieval - EDGAR

  39. Federal Covered Advisor

  40. Form 144

  41. Form 3

  42. Form ADV

  43. Full Disclosure

  44. Insider Information

  45. Intrastate Offering

  46. Investment Advisors Act Of 1940

  47. Katie Couric Clause

  48. Large Trader

  49. Legend

  50. Locked Market

  51. Option Schedule

  52. Options Backdating

  53. Options Clearing Corporation - OCC

  54. Over-The-Counter Bulletin Board - OTCBB

  55. Preliminary Prospectus

  56. Proxy Statement

  57. Public Offering

  58. Qualified Institutional Buyer - QIB

  59. Quiet Filing

  60. Quiet Period

  61. Registered Investment Advisor - RIA

  62. Restatement

  63. Retired Securities

  64. Rule 10b-18

  65. Rule 144

  66. S-8 Filing

  67. SEC Fee

  68. SEC Form 10-Q

  69. SEC Form 13F

  70. SEC Form 2-A

  71. SEC Form CB

  72. SEC Form D

  73. SEC Form F-1

  74. SEC Form F-10

  75. SEC Form F-7

  76. SEC Form F-80

  77. SEC Form F-N

  78. SEC Form S-4

  79. SEC Release IA-1092

  80. SEC Yield

  81. Schedule 13D

  82. Schedule 13G

  83. Section 16

  84. Securities Act Of 1933

  85. Securities And Exchange Commission - SEC

  86. Shelf Offering

  87. Short-Sale Rule

  88. Sponsor

  89. Step-Out Trading

  90. Suspended Trading

  91. Swap Dealer

  92. Threshold List

  93. Trade Reporting And Compliance Engine - TRACE

  94. Unlisted Trading Privileges - UTP

  95. Uptick Rule

  96. Waiting Period

  97. Wildcatting

  98. Williams Act

  99. Zero Minus Tick

  100. Zero Plus Tick

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