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  1. What Triggers an SEC Audit for Financial Advisors?

    Advisors looking to avoid an SEC audit should pay heed to this list of what may catch ...
  2. SEC Audit? No Problem (If You're Prepared)

    Audits are unwanted and unpleasant, but by getting your proverbial ducks in a row ...
  3. Is Your Broker Churning Your Account?

    Is your broker churning your account to generate fees? Here's how to know and what ...
  4. Fund Boards: What They Do and Why You Should ...

    Fund boards oversee management and operations of the fund on behalf of shareholders. ...
  5. Steps to Starting Up an Independent Broker Dealer

    Launching your own broker-dealer is a lot of work, but the potential payoff is great, ...
  6. SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories ...
  1. Popular Resources for Equity Research and Analysis: ...

    This tutorial offers details on the most popular resources for equity research and ...
  1. Popular Resources for Equity Research and Analysis: ...

    This tutorial offers details on the most popular resources for equity research and ...
  1. SEC Filings: Forms You Need to Know

    The forms companies are required to file provide a clear view of their histories ...
Hot Definitions
  1. Black Swan

    An event or occurrence that deviates beyond what is normally expected of a situation and that would be extremely difficult ...
  2. Inverted Yield Curve

    An interest rate environment in which long-term debt instruments have a lower yield than short-term debt instruments of the ...
  3. Socially Responsible Investment - SRI

    An investment that is considered socially responsible because of the nature of the business the company conducts. Common ...
  4. Presidential Election Cycle (Theory)

    A theory developed by Yale Hirsch that states that U.S. stock markets are weakest in the year following the election of a ...
  5. Super Bowl Indicator

    An indicator based on the belief that a Super Bowl win for a team from the old AFL (AFC division) foretells a decline in ...
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