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. Non-Covered Security

  51. Option Schedule

  52. Options Backdating

  53. Options Clearing Corporation - OCC

  54. Over-The-Counter Bulletin Board - OTCBB

  55. Pre-Syndicate Bid

  56. Preliminary Prospectus

  57. Proxy Statement

  58. Public Offering

  59. Qualified Institutional Buyer - QIB

  60. Quiet Filing

  61. Quiet Period

  62. Red Herring

  63. Registered Investment Advisor - RIA

  64. Restatement

  65. Restricted Stock

  66. Retired Securities

  67. Rule 10b-18

  68. Rule 10b-6

  69. Rule 144

  70. Rule 144A

  71. S-8 Filing

  72. Schedule 13D

  73. Schedule 13E-4

  74. Schedule 13E-4F

  75. Schedule 13G

  76. Schedule 14D-9

  77. Schedule 14D-9F

  78. Schedule TO-T

  79. SEC DEL AM Filing

  80. SEC Fee

  81. SEC Form 1

  82. SEC Form 1-A

  83. SEC Form 1-E

  84. SEC Form 1-N

  85. SEC Form 10

  86. SEC Form 10-12B

  87. SEC Form 10-12G

  88. SEC Form 10-C

  89. SEC Form 10-D

  90. SEC Form 10-K405

  91. SEC Form 10-KSB

  92. SEC Form 10-KSB405

  93. SEC Form 10-KT

  94. SEC Form 10-KT405

  95. SEC Form 10-Q

  96. SEC Form 10-QSB

  97. SEC Form 10-QT

  98. SEC Form 10-SB

  99. SEC Form 10SB12B

  100. SEC Form 11-K

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