A filing that is made by companies which have filed for registration with the SEC. SEC Filing POS AM is a filing which has post-effective amendments to provide updated prospectus information.


A prospectus is a legal document that companies wishing to go public use to describe the securities that they are offering to investors. A prospectus is released for new issues of all types of securities – stocks, bonds, mutual funds, etc.

  1. Final Prospectus

    1. The final version of a prospectus for a public offering of ...
  2. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  3. Prospectus

    A formal legal document, which is required by and filed with ...
  4. Securities Act Of 1933

    A federal piece of legislation enacted as a result of the market ...
  5. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
  6. Alpha

    Alpha is used in finance to represent two things: 1. a measure ...
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  1. Why have mutual funds become so popular?

    Mutual funds have become an incredibly popular option for a wide variety of investors. This is primarily due to the automatic ... Read Full Answer >>
  2. Do mutual funds pay dividends?

    Depending on the specific assets in its portfolio, a mutual fund may generate income for shareholders in the form of capital ... Read Full Answer >>
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    Mutual funds are legally allowed to invest in hedge funds. However, hedge funds and mutual funds have striking differences ... Read Full Answer >>
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    Annuities come in several forms, the two most common being fixed annuities and variable annuities. During a recession, variable ... Read Full Answer >>
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    A financial advisor is allowed to pay a referral fee to a third party for soliciting clients. However, the Securities and ... Read Full Answer >>
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    Financial advisors are reimbursed by mutual funds in exchange for the investment and financial advice they provide. A financial ... Read Full Answer >>

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