FAQs tagged as

SEC

  1. How is venture capital regulated by the government?

  2. What is the difference between EBIT and operating income?

  3. What kind of financial reporting requirements does GAAP set out?

  4. When short selling, how long should you hold on to a short?

  5. Why does GAAP require accrual basis rather than cash accounting?

  6. What is the difference between operating income and EBITDA?

  7. What is the first day of the third quarter?

  8. When does a business report gross margins?

  9. Who regulates a credit rating agency?

  10. What are the differences between a 10-K report and a firm's own annual report?

  11. What are unregistered securities or stocks?

  12. How does FINRA differ from the SEC?

  13. Who was the first person charged by the SEC?

  14. How are oil reserves accounted for on an oil company's balance sheet?

  15. When did earnings conference calls become open to the public?

  16. The SEC's Rule 144

  17. What is an unregistered mutual fund?

  18. Under the Investment Company Act of 1940, an investment company must have minimum ...

  19. How do indexes determine which stocks are removed or added to them?

  20. How do I know if I am buying unregistered securities or stocks?

  21. Why did Tyco's financial statements attract the SEC's attention in 2002?

  22. What is an unregistered security scam?

  23. Investment advisors must register with the SEC when their assets under management ...

  24. I know there is a form of deposit insurance where a portion of my bank account deposits ...

  25. Why do companies postpone earnings announcements?

  26. Where can I find a company's annual report and its SEC filings?

  27. What exactly is insider trading?

  28. What happens when a company buys back its shares?

  29. What does it mean when a stock trades on the Pink Sheets or the OTCBB?

  30. Why do brokers ask for personal information before they make any trades?

  31. What is the haircut rate imposed by clearing corporations?

  32. Why did my stock's ticker symbol change?

  33. What parties are involved in the creation of an American depositary receipt?

  34. What is the difference between open-market and closed-market transactions?

  35. Are professionals, such as financial planners and brokers, liable for the advice ...

  36. Which of the following terms are associated with the purchase/redemption of open-end ...

  37. What is a blackout period?

  38. Are ETFs required to pay out a percentage of income as dividends?

  39. What happens to the fines collected by the Securities and Exchange Commission?

  40. When must a company announce earnings?

  41. What is meant by "full disclosure"?

  42. What is earnings management?

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