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FAQs tagged as

SEC

  1.

    Who was the first person charged by the SEC?

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

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

  4. The SEC's Rule 144

  5. What is an unregistered mutual fund?

  6. Under the Investment Company Act of 1940, an investment company must have minimum net assets of how much before it can issue shares to the public?

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

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

  9. What are unregistered securities or stocks?

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

  11. What is an unregistered security scam?

  12. Investment advisors must register with the SEC when their assets under management total what amount?

  13. How does FINRA differ from the SEC?

  14. I know there is a form of deposit insurance where a portion of my bank account deposits is protected. Is there anything like this for my investments?

  15. Are professionals, such as financial planners and brokers, liable for the advice they give?

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

  17. What is a blackout period?

  18. When must a company announce earnings?

  19. Which of the following terms are associated with the purchase/redemption of open-end investment company shares?

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

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

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

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

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

  25. Why do companies postpone earnings announcements?

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

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

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

  29. What exactly is insider trading?

  30. What is earnings management?

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

  32. What is meant by "full disclosure"?

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