Under Rule 501 of Securities and Exchange Commission Regulation D, accredited investors are wealthy individuals or entities who do not count towards the 35-person limit in private limited partnerships, allowing substantial capital raising.
In the USA, the professional organization of certified public accountants. The Institute provides technical advice and guidance to its members and such government bodies as the Securities and Exchange Commission. It issues many influential publications in the areas of accounting, auditing, and taxation.
A bear raid refers to an illegal attempt by investors to manipulate the price of a stock downward by selling large numbers of shares short. Such practices are prohibited under Securities and Exchange Commission (SEC) rules.
A deficiency letter is a written notice from the Securities and Exchange Commission (SEC) to a prospective issuer of securities, indicating that the preliminary prospectus needs revision or expansion. Addressing deficiency letters promptly is crucial to avoid prolonging the registration period.
EDGAR is an automated system employed by the U.S. Securities and Exchange Commission (SEC) for the collection, validation, indexing, acceptance, and forwarding of submissions required by law to be filed by companies and other entities.
XBRL is a global standard language for communicating business and financial data. It leverages XML to allow business facts to be identified and analyzed by computers, mandated by the US Securities and Exchange Commission (SEC) for reporting since 2010.
A Flash Crash refers to a very sudden and severe drop in security prices, followed by a quick recovery. The term is most famously associated with the nearly 1,000-point drop in the Dow Jones Industrial Average (DJIA) on May 6, 2010.
Form 20-F is the required Securities and Exchange Commission (SEC) form for non-US companies to file annual results, ensuring transparency and compliance with US regulations.
High-Frequency Trading (HFT) involves the use of complex algorithms to trade large volumes of shares at very high speeds. This computerized trading strategy has been associated with sudden market movements and remains a controversial practice despite prevalent regulation attempts.
Inside information refers to corporate affairs that have not been made public yet. This kind of information can significantly affect a company’s stock price.
Letter stock is a category of stock that derives its name from an inscription on the face of the stock certificate, indicating that the shares have not been registered with the Securities and Exchange Commission (SEC) and, therefore, cannot be sold to the general public.
A market letter is a newsletter provided by brokerage firms to their customers or sold by independent market analysts. The analysts are typically registered as investment advisers with the Securities and Exchange Commission (SEC). The market letter offers financial advice, market analysis, stock recommendations, and other investment-related information.
A new issue refers to a stock or bond being offered to the public for the first time, the distribution of which is covered by Securities and Exchange Commission (SEC) rules. It usually pertains to initial public offerings (IPOs) by previously private companies but can also include additional stock or bond issues by companies that are already public.
A principal stockholder is an individual or entity that owns a significant percentage of a company's shares, typically 10% or more, according to the Securities and Exchange Commission (SEC) rules.
A 'Red Herring' is a preliminary prospectus filed by a company with the Securities and Exchange Commission (SEC), typically in connection with an initial public offering (IPO). It provides potential investors with crucial information about the company and its offering without disclosing the total number of shares and the price.
In the USA, a registration statement is a lengthy document that must be submitted to the Securities and Exchange Commission (SEC). It contains all relevant information about a new securities issue, enabling potential investors to make informed decisions.
Regulation D is a SEC regulation that provides a set of rules and conditions allowing exemptions for private placements of securities, helping companies raise capital without the full registration process.
Regulation U is a rule of the Securities and Exchange Commission (SEC) that governs the maximum amount of credit that banks may extend for the purchase of regulated securities.
The Securities and Exchange Commission (SEC) is a U.S. government agency that oversees the securities markets and protects investors by enforcing securities laws and regulations.
The Securities and Exchange Commission (SEC) is a federal agency empowered to regulate and supervise the selling of securities, prevent unfair practices on security exchanges and over-the-counter markets, and maintain a fair and orderly market for investors.
Taking a position refers to the act of buying and holding stock in a company for the long term or to gain control, and can relate to holding long or short positions in stocks or bonds.
Unregistered stock, also known as letter stock, refers to shares of a company that have not been registered with the Securities and Exchange Commission (SEC) and cannot be traded freely on public stock exchanges.
