FAQs tagged as

SEC

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  1. What are the disclosure requirements for a private placement?

  2. What role does the Inspector General play with the Securities and Exchange Commission?

  3. How long does it take to execute an M&A deal?

  4. How is trading volume regulated by the Securities and Exchange Commission (SEC)?

  5. What do I do if I think an accountant is in violation of the Generally Accepted Accounting ...

  6. What action is the SEC likely to take on 12b-1 fees?

  7. How can I access a company's earnings report?

  8. What are some good online resources for me to learn about Generally Accepted Accounting ...

  9. What are some of the major regulatory agencies responsible for overseeing financial ...

  10. How did the Dodd-Frank Act change whistleblower protection and processes?

  11. What are the pros and cons of holding a non-controlling interest in a company?

  12. What is the difference between shares outstanding and floating stock?

  13. Which federal regulatory agencies approved and are now responsible for enforcing ...

  14. What do regulators think of Value at Risk (VaR)?

  15. What's the difference between investment banks and commercial banks?

  16. What factors must a company consider before establishing an American Depository Receipt ...

  17. How are margin calls regulated by the SEC?

  18. What are the IRS regulations regarding a share premium account?

  19. Who regulates the various types of exchange traded funds (ETFs)?

  20. How are new exchange traded funds (ETFs) created?

  21. Can a business ever be too small to issue commercial paper?

  22. How does an underwriter syndicate work together on an initial public offering (IPO)?

  23. What is the difference between the Sarbanes-Oxley Act and the Dodd-Frank Act?

  24. How often should I measure my company's key performance metrics (KPIs)?

  25. What sectors are best for an investor seeking a high annual return?

  26. If I write a blog post about stocks I own, is that considered insider trading?

  27. What risk factors should investors consider before purchasing a callable bond?

  28. Who are the most famous people convicted of insider trading?

  29. What are some examples of fiduciary duty?

  30. How are junk bonds regulated?

  31. Can you accidentally engage in insider trading?

  32. What's the difference between insider trading and insider information?

  33. What licenses and certifications do you need for a career in portfolio management?

  34. Why does financial accounting have to comply with GAAP?

  35. What is required to become an accredited investor in a private placement?

  36. How is buying on margin regulated by the Securities and Exchange Commission (SEC)?

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

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

  39. How are asset management firms regulated?

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

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

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

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

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

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

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

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

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

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

  50. How does the Financial Accounting Standards Board (FASB) establish accounting protocol?

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

  52. What are the SEC regulations regarding stock splits?

  53. Why is the Chicago Board Options Exchange important?

  54. How are major Internet service providers (ISP) preventing new startups?

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

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

  57. What are the regulations surrounding limit order protection?

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

  59. When and why were GAAP first established?

  60. Who enforces GAAP?

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

  62. How is a deferred tax asset taxed?

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

  64. Does all common stock trade on exchanges?

  65. What is the difference between EBIT and EBITDA?

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

  67. How is venture capital regulated by the government?

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

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

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

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

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

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

  74. When does a business report gross margins?

  75. Who regulates a credit rating agency?

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

  77. What are unregistered securities or stocks?

  78. How does FINRA differ from the SEC?

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

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

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

  82. The SEC's Rule 144

  83. What is an unregistered mutual fund?

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

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

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

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

  88. What is an unregistered security scam?

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

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

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

  92. What exactly is insider trading?

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

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

  95. Why do companies postpone earnings announcements?

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

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

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

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

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

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