Industry participants: If you are (or represent) a corporate issuer, broker-dealer, investment adviser, investment company, or accountant -- and your question concerns the application or interpretation of a law or rule -- please contact the appropriate SEC division or office directly.
Title | Last Updated |
---|---|
"Ask" Price
| May 9, 2011 |
"Bid" Price
| May 9, 2011 |
"E" Added to Stock Ticker Symbol
| Oct. 15, 2012 |
"Ponzi" Schemes
| Oct. 9, 2013 |
"Pre-IPO" Investing
| Sept. 6, 2011 |
"Prime Bank" Investments
| Sept. 18, 2000 |
"Q" Added To Stock Ticker Symbol
| Oct. 15, 2012 |
"Restricted" Securities: Removing the Restrictive Legend
| Jan. 16, 2013 |
10-K, How to Read
| July 1, 2011 |
12b-1 Fees
Fees, also known as “distribution [and/or service] fees,” that are paid by a mutual fund out of fund assets to cover distribution and sometimes shareholder service expenses. | Nov. 8, 2013 |
8-K, How to Read
| May 1, 2012 |
Accounts -- Opening a Brokerage Account
Opening a brokerage account requires three critical decisions: who will buy and sell in the account, how will investments be paid, and how much risk will the account holder take. | March 26, 2008 |
Accredited Investors
| Oct. 21, 2014 |
Advance Fee Fraud
| April 28, 2010 |
After-Hours Trading
| May 25, 2011 |
All-Or-None Order
| March 10, 2011 |
American Depositary Receipts
| Jan. 31, 2007 |
Analyst Recommendations
SEC cautions investors not to rely solely on any analyst recommendation, and should know what they’re buying and why. | Sept. 6, 2011 |
Annual Report
| Oct. 15, 2014 |
Annuities
| April 6, 2011 |
Arbitration
| Oct. 23, 2014 |
Arbitration, How to Find a Lawyer Specializing in Securities
| Aug. 23, 2010 |
Arbitration, Limited Appeal Rights, SEC role
| Oct. 23, 2014 |
Arbitration/Mediation, Clinics
Law schools in California, District of Columbia, Florida, Georgia, Illinois, Michigan, New Jersey, New York, and Pennsylvania have established securities arbitration/mediation clinics to provide legal representation to investors who cannot hire a lawyer to handle their claims. | Oct. 28, 2014 |
Ask Questions
| Oct. 12, 2000 |
Banking Regulators
| Jan. 13, 2012 |
Bankruptcy
| Oct. 16, 2014 |
Best Execution
| May 9, 2011 |
Blank Check Company
| Oct. 28, 2014 |
Blue Sky Laws
| Oct. 14, 2014 |
Boiler Room
| May 25, 2000 |
Bond Funds
Bond funds and income funds are investments that deal primarily with debt securities. | March 29, 2010 |
Bond Swaps
When an investor sells one bond and uses the proceeds to purchase another bond, often at the same price. | Sept. 7, 2004 |
Bond Terms
| Oct. 17, 2014 |
Bonds
| Oct. 17, 2014 |
Bonds, Callable or Redeemable
Bonds that can be redeemed or paid off by the issuer prior to the bonds' maturity date. | Oct. 20, 2014 |
Bonds, Corporate
Debt securities issued by private and public corporations. | Oct. 20, 2014 |
Bonds, Late Payment of Interest
The process of paying bondholders involves banking transactions that are subject to the supervision of state and federal banking authorities. | Oct. 20, 2014 |
Bonds, Municipal
Debt securities bonds issued by states, cities, counties and other governmental entities to finance capital projects. | Jan. 28, 2011 |
Bonds, Selling Before Maturity
| Oct. 21, 2014 |
Bonus Credits, Annuities
Extra amount an insurance company agrees to add to a contract. | Aug. 15, 2001 |
Book Entry
| Oct. 5, 2005 |
Breakpoint Discounts
Discounts offered to investors who purchases mutual fund shares. | July 28, 2010 |
Broker Dealer Record-Keeping Requirements
| Jan. 14, 2013 |
Broker Dealer Registration
| Jan. 14, 2013 |
Broker Dealer Registration: Where to File
| July 25, 2013 |
Brokerage Account – Closing Your Brokerage Account
| Aug. 31, 2015 |
Brokerage Orders
Investors have several orders options when it comes to buying and selling securities. | Dec. 12, 2011 |
Broker-Dealers: Receiving Your Funds or Securities
| Feb. 7, 2000 |
Broker-Dealers: Why They Ask for Personal Information
| Jan. 28, 2014 |
Brokers and Advisers
| Feb. 14, 2012 |
Bulletin Boards
| Oct. 15, 2012 |
Canadian Tax-Deferred Retirement Savings Accounts
| Jan. 11, 2005 |
Cash Account
| Feb. 24, 2011 |
Central Registration Depository, CRD
| Feb. 14, 2012 |
Certificates of Deposit
| Aug. 30, 2004 |
Churning
| Jan. 15, 2013 |
Class Actions
| Oct. 11, 2005 |
Closed-End Funds
| Jan. 16, 2013 |
Closing Price
| Oct. 15, 2012 |
Cold Calling
| Feb. 14, 2012 |
Collaterized Mortgage Obligations (CMOs)
| Sept. 2, 2011 |
Comment Letters
| April 18, 2011 |
Commodity Futures Trading Commission
| May 26, 2010 |
Companies, Going Public
| Oct. 14, 2014 |
Complaints, How We Handle
| Nov. 30, 1999 |
Complaints, What To Do
| Nov. 30, 1999 |
Consolidated Tape
| Oct. 15, 2012 |
Contacting the SEC
The SEC can be contacted by mail, email, phone, and through an online complaint form. | July 14, 2000 |
Convertible Securities
| Aug. 10, 2012 |
Corporate Reports, How To Get
| July 23, 2010 |
Cost Basis for Securities Transactions
| Oct. 11, 2005 |
Credit Reports, Disputing An Inaccurate Report
| May 26, 2010 |
Cumulative Voting
| Oct. 14, 2014 |
CUSIP Number
| April 27, 2015 |
Day Orders
| March 10, 2011 |
Day Trade
| Feb. 10, 2011 |
Day Trading
| Feb. 10, 2011 |
Defunct Company, Stock Continues to Trade
| Jan. 15, 2013 |
Derivatives
| May 25, 2000 |
Direct Investment Plans: Buying Stock Directly from the Company
| March 1, 2002 |
Disaster-related Investment Scams
Disaster-related investment scams often increase following oil spills, hurricanes, floods, and other such tragedies. | Oct. 17, 2014 |
DTC, Chills at The Depository Trust Company
| Aug. 2, 2012 |
DTC, Freezes at The Depository Trust Company
| Aug. 2, 2012 |
EDGAR, How To Use
| Oct. 23, 2014 |
Electronic Communication Networks (ECNs)
| Sept. 25, 2013 |
Electronic Mailboxes at the SEC
| Jan. 11, 2000 |
Employee Stock Options Plans
| Oct. 23, 2014 |
Employee Stock Ownership Plans (ESOPs)
| Nov. 5, 2012 |
Equity-Linked CDs
| Oct. 12, 2006 |
Escheatment Process
A process that goes into effect when a firm or financial institution is unable to identify the owner of an abandoned or unclaimed account. | June 25, 2007 |
Exchange-Traded Funds (ETFs)
| Nov. 8, 2013 |
Ex-Dividend Dates: When Are You Entitled to Stock and Cash Dividends
| Oct. 23, 2014 |
Executive Compensation
Federal securities laws requires clear disclosure about compensation paid to CEOs, CFOs and certain other high-ranking executive officers of public companies. | Oct. 21, 2014 |
Fair Disclosure, Regulation FD
Rule that aims to promote the full and fair disclosure of information by publicly traded companies and other issuers. | Oct. 27, 2014 |
Federal Securities Laws
| Oct. 1, 2013 |
Filing and Registration Fees
| Oct. 28, 2014 |
Fill-Or-Kill Order
| March 10, 2011 |
Financial Planners
| Aug. 20, 2008 |
Foreign Regulators
| May 8, 2009 |
Form 1099
All brokerage firms, mutual funds, companies, and other entities are required by law to report on Form 1099 all interest or dividends they have paid to investors during the previous tax year. | Feb. 7, 2002 |
Form 10-K
| June 26, 2009 |
Form 10-Q
| Sept. 2, 2011 |
Form 13F-Reports Filed by Institutional Investment Managers
| Feb. 9, 2015 |
Form 144
| Dec. 5, 2012 |
Form 8-K
| Aug. 10, 2012 |
Form ADV
| March 11, 2011 |
Form D
| Aug. 10, 2012 |
Forms 3, 4, 5
Securitites ownership disclosure forms required to be filed by a company’s officers, directors and any beneficial owner of more than 10 percent of a class of the company’s equity securities. | Jan. 15, 2013 |
Freeriding
| Feb. 24, 2011 |
Freeze
| Feb. 24, 2011 |
Frequently Asked Questions
| April 13, 2015 |
Frequently Requested Search Terms
| June 28, 2011 |
Going Private
| Sept. 2, 2011 |
Good-Til-Cancelled Order
| March 10, 2011 |
Hedge Funds
| Dec. 4, 2012 |
High-Yield Investment Programs
| June 25, 2013 |
Holding Your Securities
| July 25, 2012 |
Holiday Schedules and Trading Hours for the Major Securities Markets
| May 27, 2010 |
Home Mortgage Loans
| July 11, 2011 |
Householding Rules, Preventing Duplicate Copies of Prospectuses and Mutual Fund Reports
SEC allows funds to deliver a single copy of a prospectus or mutual fund shareholder report to investors who share the same address.
| July 28, 2010 |
Immediate-Or-Cancel Order
| March 10, 2011 |
Impersonators, Investor Alert
| April 28, 2010 |
Index Funds
| May 14, 2007 |
Information About Some Companies Not Available From the SEC
| Nov. 26, 2013 |
Information Matters
| May 11, 2011 |
Initial Public Offerings, Pricing Differences
| Sept. 6, 2011 |
Initial Public Offerings, Why Individuals Have Difficulty Getting Shares
| Nov. 24, 1999 |
Initial Public Offerings: Eligibility To Get Shares at Broker-Dealers
| Sept. 6, 2011 |
Initial Public Offerings: Lockup Agreements
A period of time—typically 180 days—where company insiders are prohibited from selling their shares after the company goes public. | Sept. 6, 2011 |
Initial Public Offerings (IPO)
| May 31, 2013 |
Insider Trading
| Jan. 15, 2013 |
Internalization
| March 20, 2000 |
International Investing
| Dec. 12, 2016 |
Internet Fraud
| June 25, 2013 |
Interval Funds
| Jan. 15, 2013 |
Investigations by the SEC
| Jan. 19, 2012 |
Investing: Questions You Should Ask About Your Investments
(PDF)
Investors should do thorough research and ask questions about products before purchasing them. | Dec. 5, 2013 |
Investment Adviser Public Disclosure (IAPD)
| Dec. 14, 2010 |
Investment Adviser Registration Depository (IARD)
| Dec. 14, 2010 |
Investment Advisers
| Dec. 14, 2010 |
Investment Clubs
| May 9, 2011 |
Investment Companies
| July 9, 2013 |
Investment Company, Shareholders' Information
Investors are advised to read all available information from the fund, including the prospectus, statement of additional information, and shareholder reports. | April 15, 2010 |
Investment Company Registration and Regulation Package
General information about investment companies (e.g., mutual funds, closed-end funds, and unit investment trusts) that is available online. | Feb. 19, 2013 |
Investors Claims Funds
| Oct. 5, 2000 |
Late Trading
| Oct. 12, 2005 |
Lawyer Referrals
Investors seeking an attorney specializing in resolving securities complaints may obtain a referral from a list of bar associations. | July 31, 2007 |
Limit Orders
| March 10, 2011 |
Listing and Delisting Requirements
| Oct. 15, 2012 |
Lost or Stolen Stock Certificates
A “stop transfer” should be immediately requested when securities certificates are lost, accidentally destroyed, or stolen. | Dec. 20, 2011 |
Manipulation
| March 28, 2008 |
Margin
| Sept. 22, 2004 |
Margin Position Sellouts
| Feb. 14, 2012 |
Market Capitalization
| June 25, 2007 |
Market Centers: Buying and Selling Stock
Location where orders to buy and sell stocks are executed. | Oct. 15, 2012 |
Market Indices
| Oct. 15, 2012 |
Market Maker
| March 17, 2000 |
Market Order
| March 9, 2011 |
Market Volatility Procedures and Circuit Breakers
| July 24, 2012 |
Medallion Signature Guarantees
Medallion signature guarantees are required to transfer or sell securities in physical certificate form. These securities powers are needed before a transfer agent will accept the transaction. | Dec. 20, 2008 |
Mediation
| Feb. 14, 2012 |
Mergers
| Jan. 15, 2013 |
Microcap Stock
| June 25, 2007 |
Mini-Tender Offers
Small offers that result in owning less than 5 percent of a company’s stock; often used to catch shareholders off guard. | March 29, 2010 |
Money Market Fund
| Jan. 17, 2017 |
Mortgage-Backed Securities
| July 23, 2010 |
Mutual Fund Classes
| July 9, 2013 |
Mutual Fund Cost Calculator
Online cost calculators are available to compare the costs of owning different mutual funds. | July 28, 2010 |
Mutual Fund Fees and Expenses
| Jan. 15, 2013 |
Mutual Fund Prospectus
| July 28, 2010 |
Mutual Fund Redemptions, What You Should Know
| July 28, 2010 |
Mutual Funds
| Dec. 14, 2010 |
Mutual Funds, Past Performance
| July 28, 2010 |
Naked Short Sales
| April 13, 2015 |
Nasdaq
| April 18, 2011 |
National Securities Exchanges
Securities exchanges that have registered with the SEC under Section 6 of the Securities Exchange Act of 1934. | Aug. 30, 2012 |
Nationally Recognized Municipal Securities Information Repositories (NRMSIRs)
Free public access on sources of municipal securities information is available from the Municipal Securities Rulemaking Board (MSRB), through its Electronic Municipal Market Access (EMMA) website at www.emma.msrb.org. | Jan. 26, 2011 |
Nationally Recognized Statistical Rating Organizations (NRSROs)
A credit rating agency assesses the creditworthiness of an obligor as an entity or with respect to specific securities or money market instruments. | May 31, 2013 |
Net Asset Value
| July 9, 2013 |
Nigerian "Advance Fee Fraud" Schemes
| April 28, 2010 |
No Action Letters
| Sept. 21, 2012 |
Oil and Gas
| Oct. 15, 2014 |
Old Stock and Bond Certificates
Old stock or bond certificates may still be valuable even if it no longer trades under the name printed on the certificate. | Jan. 9, 2013 |
Online Investment Newsletters
| Aug. 30, 2004 |
Online Message Boards
| July 5, 2000 |
Online Trading
| March 26, 2008 |
Options Trading
| July 23, 2010 |
OTC Bulletin Board (OTCBB)
| Oct. 25, 2012 |
OTC Bulletin Board (OTCBB) Eligibility Rule
| Aug. 30, 2004 |
Pattern Day Trader
| Feb. 10, 2011 |
Payment for Order Flow
| June 25, 2007 |
Penny Stock Rules
| May 9, 2013 |
Pink Sheets
| May 9, 2013 |
PIPE Offerings
| May 19, 2005 |
Promissory Notes
A type of debt, similar to loans or IOUs, that companies sometimes use to raise money. | Sept. 2, 2011 |
Proxy Statements
| June 1, 2011 |
Proxy Statements: How to Find
| Aug. 14, 2003 |
Public Company Accounting Oversight Board (PCAOB)
A private sector, nonprofit corporation created by the Sarbanes-Oxley Act of 2002 to oversee accounting professionals who provide independent audit reports for publicly traded companies. | Jan. 16, 2013 |
Public Documents: How to Request Public Documents
Questions and inquiries relating to the Commission, federal securities laws and investments should be submitted via [https://www.sec.gov/oiea/QuestionsAndComments.html]. Public documents can be requested through the Office of FOIA/PA Operations. | Sept. 2, 2016 |
Publications
| Oct. 12, 2000 |
Pump and Dump
| June 25, 2013 |
Pyramid Schemes
| Oct. 9, 2013 |
Quiet Period
| Sept. 2, 2011 |
Real Estate Investment Trusts (REITS)
| Jan. 17, 2012 |
Recovering Funds - How individual investors may be able to recover financial losses resulting from securities fraud
| Feb. 24, 2009 |
Registration Under the Securities Act of 1933
| Sept. 2, 2011 |
Regulation D Offerings
| Oct. 28, 2014 |
Regulation SHO
| April 18, 2005 |
Retirement Questions and Complaints
Questions regarding retirement plans, such as pensions or 401(k), should be addressed to the U.S. Department of Labor. | Oct. 4, 2012 |
Reverse Stock Splits
| Nov. 3, 2000 |
Rule 504 of Regulation D
| Oct. 27, 2014 |
Rule 505 of Regulation D
| Oct. 27, 2014 |
Rule 506 of Regulation D
| Oct. 6, 2014 |
Rulemaking, How It Works
| April 6, 2011 |
Sales Practice Abuses
| May 5, 2005 |
Saving Bonds
| Aug. 7, 2012 |
Savings Bond Calculator
Tool to help calculate how much savings bonds are currently worth, what it was worth in the past, and what it will be worth in the near future. | Feb. 6, 2007 |
Schedule 13D
| Dec. 5, 2012 |
SEC's Test Your Money Smarts
| Feb. 3, 2001 |
Section 31 Transaction Fees
Sometimes described as the “SEC Fee,” this charge is designed to recover the costs incurred by the government for supervising and regulating the securities markets and securities professionals. | Sept. 25, 2013 |
Securities Act Rule 144
A safe harbor for the public resale of restricted or control securities if a number of conditions are met, including how long the securities are held, the way in which they are sold, and the amount that can be sold at any one time. | Jan. 16, 2013 |
Securities and Exchange Commission
| Dec. 21, 1999 |
Securities Investor Protection Corporation (SIPC)
| March 27, 2012 |
Securities Regulators, State
| March 29, 2010 |
Security Power
| Sept. 14, 2005 |
Selling Short Against the Box
| Aug. 15, 2007 |
Series 7 Examination
| April 27, 2015 |
Settling Securities Transactions, T+3
Investors must complete or "settle" their security transactions within three business days. | Feb. 25, 2003 |
Shareholder's Lists, When You Can Get Them
| Jan. 16, 2013 |
Short Sale Restrictions
| April 13, 2015 |
Short Sale Volume and Transaction Data
| Aug. 10, 2016 |
Short Sales
| April 13, 2015 |
Social Security Retirement Planner
| Oct. 5, 2005 |
Spam
| March 1, 2007 |
Specialists
| Oct. 15, 2012 |
Spiders (SPDRs)
| May 27, 2010 |
Spin-Offs
| Sept. 21, 2011 |
Spread
| Dec. 18, 2002 |
Staff Legal Bulletins
| Nov. 5, 2004 |
State Regulators
| March 29, 2010 |
State Securities Regulators
| Jan. 11, 2005 |
Stock Certificates, Proving Ownership
| June 25, 2007 |
Stock Directory and Prices in the U.S.
| May 27, 2010 |
Stock Funds
| March 29, 2010 |
Stock Splits
| March 29, 2010 |
Stock Tables, How to Read Them
| May 26, 2010 |
Stop Order
| March 10, 2011 |
Stop-Limit Order
| March 10, 2011 |
Street Name
| Oct. 5, 2005 |
Suitability
| Feb. 14, 2012 |
Tax Questions, Capital Gains & Losses
Questions or comments regarding a capital gains tax or a capital loss should be directed to the Internal Revenue Service. | Nov. 4, 2002 |
Tax-Free vs. Taxable Yield Comparison Calculator
| Jan. 7, 2008 |
Telephone Calls From Brokers
| Oct. 12, 2000 |
Telephone Numbers at the SEC
| Jan. 11, 2000 |
Tender Offer
| Jan. 16, 2013 |
Threshold Securities
| April 13, 2015 |
Tracking Stocks
| Sept. 3, 2004 |
Trade Execution
| Dec. 8, 1999 |
Trade Execution: Rules Your Brokerage Firm Must Follow
| Jan. 16, 2013 |
Trading Halts and Delays
| July 23, 2010 |
Trading Suspensions
| June 7, 2011 |
Transfer Agents
| March 2, 2012 |
Transfer on Death (TOD) Registration
| May 16, 2011 |
Transferring Your Brokerage Account
Account transfers are generally completed without a problem, often within two to three weeks. | Jan. 26, 2000 |
Treasury Securities
| April 19, 2001 |
Ultra-Short Bond Funds
| July 23, 2010 |
Unauthorized Transactions
| Feb. 14, 2012 |
Unit Investment Trusts (UITS)
| Jan. 16, 2013 |
Unsolicited Quotations
| Jan. 16, 2013 |
Variable Annuities
| May 3, 2012 |
Variable Annuities - Free Look Period
A period of 10 or more days during which a contract can be terminated without paying any surrender charges, and a refund can be received. | Oct. 13, 2004 |
Variable Annuities - Living Benefits
Certain protections for payouts, withdrawals, or account values against investment losses and/or unexpected longevity are commonly offered with variable annuities, usually for a fee. | May 3, 2012 |
Variable Annuities - What You Should Know
(PDF)
| Feb. 19, 2014 |
Variable Annuity Surrender Charges
A type of sales charge that must be paid if money is withdrawn or if the variable annuity is sold during the "surrender period.” | July 28, 2001 |
Viatical Settlements
| May 21, 2004 |
Voting Rights - Exercise your Shareholder Voting Rights in Corporate Elections
(PDF)
| Feb. 19, 2014 |
Wash Sales
| Nov. 17, 2016 |
XBRL - Voluntary Financial Reporting on the EDGAR System
| Oct. 12, 2005 |
Zero Coupon Bonds
| March 29, 2010 |
Title: "Ask" Price
Last Updated: May 9, 2011
Title: "Bid" Price
Last Updated: May 9, 2011
Title: "E" Added to Stock Ticker Symbol
Last Updated: Oct. 15, 2012
Title: "Ponzi" Schemes
Last Updated: Oct. 9, 2013
Title: "Pre-IPO" Investing
Last Updated: Sept. 6, 2011
Title: "Prime Bank" Investments
Last Updated: Sept. 18, 2000
Title: "Q" Added To Stock Ticker Symbol
Last Updated: Oct. 15, 2012
Title: "Restricted" Securities: Removing the Restrictive Legend
Last Updated: Jan. 16, 2013
Title: 10-K, How to Read
Last Updated: July 1, 2011
Title: 12b-1 Fees
Last Updated: Nov. 8, 2013
Title: 8-K, How to Read
Last Updated: May 1, 2012
Title: Accounts -- Opening a Brokerage Account
Last Updated: March 26, 2008
Title: Accredited Investors
Last Updated: Oct. 21, 2014
Title: Advance Fee Fraud
Last Updated: April 28, 2010
Title: After-Hours Trading
Last Updated: May 25, 2011
Title: All-Or-None Order
Last Updated: March 10, 2011
Title: American Depositary Receipts
Last Updated: Jan. 31, 2007
Title: Analyst Recommendations
Last Updated: Sept. 6, 2011
Title: Annual Report
Last Updated: Oct. 15, 2014
Title: Annuities
Last Updated: April 6, 2011
Title: Arbitration
Last Updated: Oct. 23, 2014
Title: Arbitration, How to Find a Lawyer Specializing in Securities
Last Updated: Aug. 23, 2010
Title: Arbitration, Limited Appeal Rights, SEC role
Last Updated: Oct. 23, 2014
Title: Arbitration/Mediation, Clinics
Last Updated: Oct. 28, 2014
Title: Ask Questions
Last Updated: Oct. 12, 2000
Title: Banking Regulators
Last Updated: Jan. 13, 2012
Title: Bankruptcy
Last Updated: Oct. 16, 2014
Title: Best Execution
Last Updated: May 9, 2011
Title: Blank Check Company
Last Updated: Oct. 28, 2014
Title: Blue Sky Laws
Last Updated: Oct. 14, 2014
Title: Boiler Room
Last Updated: May 25, 2000
Title: Bond Funds
Last Updated: March 29, 2010
Title: Bond Swaps
Last Updated: Sept. 7, 2004
Title: Bond Terms
Last Updated: Oct. 17, 2014
Title: Bonds
Last Updated: Oct. 17, 2014
Title: Bonds, Callable or Redeemable
Last Updated: Oct. 20, 2014
Title: Bonds, Corporate
Last Updated: Oct. 20, 2014
Title: Bonds, Late Payment of Interest
Last Updated: Oct. 20, 2014
Title: Bonds, Municipal
Last Updated: Jan. 28, 2011
Title: Bonds, Selling Before Maturity
Last Updated: Oct. 21, 2014
Title: Bonus Credits, Annuities
Last Updated: Aug. 15, 2001
Title: Book Entry
Last Updated: Oct. 5, 2005
Title: Breakpoint Discounts
Last Updated: July 28, 2010
Title: Broker Dealer Record-Keeping Requirements
Last Updated: Jan. 14, 2013
Title: Broker Dealer Registration
Last Updated: Jan. 14, 2013
Title: Broker Dealer Registration: Where to File
Last Updated: July 25, 2013
Title: Brokerage Account – Closing Your Brokerage Account
Last Updated: Aug. 31, 2015
Title: Brokerage Orders
Last Updated: Dec. 12, 2011
Title: Broker-Dealers: Receiving Your Funds or Securities
Last Updated: Feb. 7, 2000
Title: Broker-Dealers: Why They Ask for Personal Information
Last Updated: Jan. 28, 2014
Title: Brokers and Advisers
Last Updated: Feb. 14, 2012
Title: Bulletin Boards
Last Updated: Oct. 15, 2012
Title: Canadian Tax-Deferred Retirement Savings Accounts
Last Updated: Jan. 11, 2005
Title: Cash Account
Last Updated: Feb. 24, 2011
Title: Central Registration Depository, CRD
Last Updated: Feb. 14, 2012
Title: Certificates of Deposit
Last Updated: Aug. 30, 2004
Title: Churning
Last Updated: Jan. 15, 2013
Title: Class Actions
Last Updated: Oct. 11, 2005
Title: Closed-End Funds
Last Updated: Jan. 16, 2013
Title: Closing Price
Last Updated: Oct. 15, 2012
Title: Cold Calling
Last Updated: Feb. 14, 2012
Title: Collaterized Mortgage Obligations (CMOs)
Last Updated: Sept. 2, 2011
Title: Comment Letters
Last Updated: April 18, 2011
Title: Commodity Futures Trading Commission
Last Updated: May 26, 2010
Title: Companies, Going Public
Last Updated: Oct. 14, 2014
Title: Complaints, How We Handle
Last Updated: Nov. 30, 1999
Title: Complaints, What To Do
Last Updated: Nov. 30, 1999
Title: Consolidated Tape
Last Updated: Oct. 15, 2012
Title: Contacting the SEC
Last Updated: July 14, 2000
Title: Convertible Securities
Last Updated: Aug. 10, 2012
Title: Corporate Reports, How To Get
Last Updated: July 23, 2010
Title: Cost Basis for Securities Transactions
Last Updated: Oct. 11, 2005
Title: Credit Reports, Disputing An Inaccurate Report
Last Updated: May 26, 2010
Title: Cumulative Voting
Last Updated: Oct. 14, 2014
Title: CUSIP Number
Last Updated: April 27, 2015
Title: Day Orders
Last Updated: March 10, 2011
Title: Day Trade
Last Updated: Feb. 10, 2011
Title: Day Trading
Last Updated: Feb. 10, 2011
Title: Defunct Company, Stock Continues to Trade
Last Updated: Jan. 15, 2013
Title: Derivatives
Last Updated: May 25, 2000
Title: Direct Investment Plans: Buying Stock Directly from the Company
Last Updated: March 1, 2002
Title: Disaster-related Investment Scams
Last Updated: Oct. 17, 2014
Title: DTC, Chills at The Depository Trust Company
Last Updated: Aug. 2, 2012
Title: DTC, Freezes at The Depository Trust Company
Last Updated: Aug. 2, 2012
Title: EDGAR, How To Use
Last Updated: Oct. 23, 2014
Title: Electronic Communication Networks (ECNs)
Last Updated: Sept. 25, 2013
Title: Electronic Mailboxes at the SEC
Last Updated: Jan. 11, 2000
Title: Employee Stock Options Plans
Last Updated: Oct. 23, 2014
Title: Employee Stock Ownership Plans (ESOPs)
Last Updated: Nov. 5, 2012
Title: Equity-Linked CDs
Last Updated: Oct. 12, 2006
Title: Escheatment Process
Last Updated: June 25, 2007
Title: Exchange-Traded Funds (ETFs)
Last Updated: Nov. 8, 2013
Title: Ex-Dividend Dates: When Are You Entitled to Stock and Cash Dividends
Last Updated: Oct. 23, 2014
Title: Executive Compensation
Last Updated: Oct. 21, 2014
Title: Fair Disclosure, Regulation FD
Last Updated: Oct. 27, 2014
Title: Federal Securities Laws
Last Updated: Oct. 1, 2013
Title: Filing and Registration Fees
Last Updated: Oct. 28, 2014
Title: Fill-Or-Kill Order
Last Updated: March 10, 2011
Title: Financial Planners
Last Updated: Aug. 20, 2008
Title: Foreign Regulators
Last Updated: May 8, 2009
Title: Form 1099
Last Updated: Feb. 7, 2002
Title: Form 10-K
Last Updated: June 26, 2009
Title: Form 10-Q
Last Updated: Sept. 2, 2011
Title: Form 13F-Reports Filed by Institutional Investment Managers
Last Updated: Feb. 9, 2015
Title: Form 144
Last Updated: Dec. 5, 2012
Title: Form 8-K
Last Updated: Aug. 10, 2012
Title: Form ADV
Last Updated: March 11, 2011
Title: Form D
Last Updated: Aug. 10, 2012
Title: Forms 3, 4, 5
Last Updated: Jan. 15, 2013
Title: Freeriding
Last Updated: Feb. 24, 2011
Title: Freeze
Last Updated: Feb. 24, 2011
Title: Frequently Asked Questions
Last Updated: April 13, 2015
Title: Frequently Requested Search Terms
Last Updated: June 28, 2011
Title: Going Private
Last Updated: Sept. 2, 2011
Title: Good-Til-Cancelled Order
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