The SEC Form 10-D is a document that is filed with the Securities and Exchange Commission (SEC) by a company that is registering a class of securities with the SEC. The form must be filed within 120 days after the end of the fiscal year. The Form 10-D includes information about the company’s business, financial … Read more
The National Association of Securities Dealers (NASD) is a non-profit association that regulates broker-dealers who trade securities and provide investment advice. The NASD is overseen by the Securities and Exchange Commission (SEC). What is the best broker to trade NAS100? The best broker to trade NAS100 will be one that is regulated by the Securities … Read more
A legend is a short description of a securities transaction that is used to help the investor understand the nature of the transaction. The legend will typically include the name of the security, the date of the transaction, the type of transaction, the price of the security, and the number of shares traded. What is … Read more
A consent solicitation is a formal request to holders of a company’s securities for approval of a specific corporate action. The company must provide full disclosure of all material information to security holders in order to solicit their consent. Once the company has received the requisite level of consent from security holders, it can proceed … Read more
SEC Form 11-K is a filing with the Securities and Exchange Commission (SEC) that is used by certain large companies to report annual financial information. The form is similar to the annual report that these companies would file with the SEC on Form 10-K, but it includes additional information that is required by the SEC. … Read more
The Five Percent Rule is a guideline set by the U.S. Securities and Exchange Commission (SEC) that limits the amount of a company’s stock that can be owned by a single shareholder. The rule is intended to protect investors by ensuring that a company is not controlled by a small group of people. The rule … Read more
SEC Form 8-A is a registration form that companies must file with the Securities and Exchange Commission (SEC) in order to register their securities. The form must be filed before a company can sell its securities to the public. The form contains information about the company’s business, its financial condition, and the risks associated with … Read more
The SEC Form N-14 is a form that is filed with the Securities and Exchange Commission (SEC) by investment companies that offer variable annuities. The form is used to provide information about the annuity’s investment options, fees, and other important details. Who discovered nitrogen-14? The discovery of nitrogen-14 is attributed to Frederick Soddy, a British … Read more
A Wells Notice is a formal notification from the U.S. Securities and Exchange Commission (SEC) to a company or individual that the SEC is considering taking enforcement action against them. The notice gives the company or individual an opportunity to explain why the SEC should not take action. The SEC may issue a Wells Notice … Read more
The SEC Form S-3 is a filing that must be made with the Securities and Exchange Commission in order to sell securities. This form is used by companies that are already public and that have a strong track record of financial stability. In order to sell securities on this form, a company must have filed … Read more
