Investopedia

Continue to Site »

SEC Form N-27E-1

Filed Under » , ,
Dictionary Says

Definition of 'SEC Form N-27E-1'

A filing with the Securities and Exchange Commission (SEC) that must be used by issuers of periodic payment plans to inform holders of periodic payment plan certificates who have missed certain payments within 18 months of the issuance of the certificate of their surrender rights. SEC Form N-27E-1 tells the holder that he or she has a specified amount of time to surrender the plan certificate and receive, in addition to the value of the account on the date the certificate is received, a refund of that portion of the sales charges he or she has paid in excess of 15% of the gross payments under the plan.
Investopedia Says

Investopedia explains 'SEC Form N-27E-1'

SEC Form N-27E-1 is also known as "Notice to Periodic Payment Plan Certificate Holders of 18 Months Surrender Rights with Respect to Periodic Payment Plan Certificates." This notice must be sent to all purchasers of plan certificates and is meant to help them make fully informed decisions about their investments.

Articles Of Interest

  1.

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.

  2. Get A Job In Compliance

    If you're a stickler for rules, this could be a promising career path for you.

  3. Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.

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

    Thanks to the Internet, finding financial reports is easier than ever. Nowadays, every reputable company has an investor relations section on its website that is a wealth of information. Walt ...

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

    When the Securities and Exchange Commission (SEC) enforces a civil action against a corporation or an individual found guilty of violating SEC regulations, there's a good chance that some sort ...

  6. Who's Looking Out For Investors?

    If your account has been mishandled, FINRA and the SEC are among several organizations that can help.

  7. Should You Add A Securities License To Your Qualifications?

    Clients love planners who sell securities, but a securities license takes a lot of work. Learn if the stress and study are worth it.

  8. How To Report A Tax Cheat

    If you report a tax evader to the IRS, you could be eligible for a reward.

  9. GAAP And The IFRS Standards Convergence Efforts In 3 Substantial Areas

    Understand the specific steps that have been taken in hopes of converging the GAAP and the IFRS accounting standards, despite the philosophically and culturally based methodological differences ...

  10. How Much Will Your Taxes Rise Based On Your Salary?

    Find out how high your taxes will rise this year.
comments powered by Disqus
Marketplace
Hot Definitions

  1. Validation Period

    The amount of time necessary for the premium on an insurance policy to cover the commissions, the cost of investigation, medical exams and other expenses associated with the issuance of the policy.

  2. Winner's Curse

    Because of incomplete information, emotions or any other number of factors regarding the item being auctioned, bidders can have a difficult time determining the item's intrinsic value. As a result, the largest overestimation of an item's value ends up winning the auction.

  3. Glocalization

    A combination of the words "globalization" and "localization" used to describe a product or service that is developed and distributed globally, but is also fashioned to accommodate the user or consumer in a local market.

  4. Disaster Loss

    A special type of tax-deductible loss, similar to a casualty loss, where a loss has been incurred by taxpayers who reside in an area that has been designated as a federal disaster area by the President.

  5. Fool In The Shower

    The notion that changes or policies designed to alter the course of the economy should be done slowly, rather than all at once.

  6. Pattern Day Trader

    An SEC designation for traders who trade the same security four or more times per day (buys and sells) over a five-day period, and for whom same-day trades make up at least 6% of their activity for that period.
Trading Center