FAQs tagged as

SEC

  1. How did the stock market operate prior to the Securities and Exchange Commission?

  2. What financial regulation exist to control the secondary market?

  3. How are asset management firms regulated?

  4. What information should I focus on in my mutual fund's prospectus?

  5. How can I get a free mutual fund prospectus?

  6. What information does the SEC require in an investment company's prospectus?

  7. What is the difference between a summary prospectus and an offering memorandum?

  8. What does the underwriter do in a new stock offering?

  9. What are some advantage of raising capital through private placement?

  10. How is the Chairman of the Securities and Exchange Commission (SEC) chosen?

  11. How do investors and lenders benefit from financial accounting?

  12. What are the Securities and Exchange Commission regulations regarding swaps?

  13. Why does executive compensation facilitate when a company buys back its stock?

  14. How does the Fair Accounting Standards Board (FASB) establish accounting protocol?

  15. What is the difference between a prospectus and summary prospectus?

  16. What are the SEC regulations regarding stock splits?

  17. Why is the Chicago Board Options Exchange important?

  18. To what extent are the dominant players in the Internet sector preventing new startups?

  19. What percentage of asset management firms are privately held and not publicly traded?

  20. What's the difference between return on sales (ROS) and operating margin?

  21. What are the regulations surrounding limit order protection?

  22. How does the privatization of a publicly traded company work?

  23. When and why were GAAP first established?

  24. Who enforces GAAP?

  25. What are the SEC (Securities And Exchange Commission) rules about OTC (over-the-counter) ...

  26. How is a deferred tax asset taxed?

  27. What are the historical beginnings of the securities industry?

  28. Does all common stock trade on exchanges?

  29. What is the difference between EBIT and EBITDA?

  30. Why was the practice of depreciating assets for accounting purposes created?

  31. How is venture capital regulated by the government?

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

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

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

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

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

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

  38. When does a business report gross margins?

  39. Who regulates a credit rating agency?

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

  41. What are unregistered securities or stocks?

  42. How does FINRA differ from the SEC?

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

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

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

  46. The SEC's Rule 144

  47. What is an unregistered mutual fund?

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

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

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

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

  52. What is an unregistered security scam?

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

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

  55. Why do companies postpone earnings announcements?

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

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

  58. What exactly is insider trading?

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

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

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

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

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

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

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

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

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

  68. What is a blackout period?

  69. What is meant by "full disclosure"?

  70. What is earnings management?

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

  72. When must a company announce earnings?

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