Securities Act Of 1933

  1. Hedgefund Manager Leon Cooperman Charged With ...

    The SEC charges accuse Cooperman of illegally benefiting from the purchase of Atlas ...
  2. How To Answer Option Questions On The Series ...

    Learn how to answer option questions on the Series 7 exam. Pass your Series 7 exam ...
  3. As Regulators Target CLOs, Bankers Predict Doom ...

    Collateralized loan obligations are the latest Wall Street invention to give regulators ...
  4. Crowdfunding for equities? Fool's Gold

    Investopedia explains: The JOBS Act was intended to make it easier for small firms ...
  1. How are variable annuities regulated?

    Discover the various rules that the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority ...
  1. Series 57

    FINRA Series 57 Exam Guide
  2. Series 62

    FINRA Series 62 Exam Guide
  3. Series 99

    FINRA/NASAA Series 99 Exam Guide
  4. Series 24

    FINRA/NASAA Series 24 Exam Guide
Hot Definitions
  1. North American Free Trade Agreement - NAFTA

    A regulation implemented on Jan. 1, 1994, that decreased and eventually eliminated tariffs to encourage economic activity ...
  2. Trickle-Down Theory

    An economic idea which states that decreasing marginal and capital gains tax rates - especially for corporations, investors ...
  3. Derivative

    A security with a price that is dependent upon or derived from one or more underlying assets.
  4. Fiduciary

    A fiduciary is a person who acts on behalf of another person, or persons to manage assets.
  5. Sharpe Ratio

    The Sharpe Ratio is a measure for calculating risk-adjusted return, and this ratio has become the industry standard for such ...
  6. Death Taxes

    Taxes imposed by the federal and/or state government on someone's estate upon their death. These taxes are levied on the ...
Trading Center