SEC Frequently Asked Questions

B

• Bankruptcy and Stocks

• Balance Sheets

• Balance Sheet Info

• Balance Sheet - Read the Footnotes

• Boiler Rooms - Cold Calling Sales

• Bond Mutual Funds

• Bonds, Municipal Bonds

• Bonds, Municipal Bonds - Information on Municipal Securities

• Bonds, Corporate Bonds
  

• Bond Terms
  

• Break Points

• Broker - Dealer Registration

• Broker - Dealer Registration: Where to File

• Broker - Dealer Record-Keeping Requirements

• Broker - Dealers: Receiving Your Funds or Securities

• Broker - Dealers: Why They Ask For Personal Information

• Brokers and Dealers - Check Them Out Before You Invest

• Brokerage Orders - Types of Brokerage Orders

• Bulletin Boards

C

• Cash Flow Statements

• Capital Gains and Losses - Tax Questions

• Central Registration Depository

• Closed End Funds

• Closing Price

• Consolidated Tape

• CUSIP Number

D

• Day Orders

• Day Trading

E

• Earnings Per Share (EPS)

• Electronic Communication Networks (ECNs)

• Exchange Traded Funds (ETF's)

• Executive Compensation: Where to Find In SEC Reports

F

• Financing Activities

• Financial Statement Ratios and Calculations

• Form 10-K

G

• Good Til Cancelled Orders

H

• Hedge Funds

• How to Contact the SEC

I

• Income Statements

• Insider Trading

• Insider Trading Forms

• Investment Clubs

• Internet Fraud

• Investigations by the SEC

• Index Funds

• Investment Company

• Information Available to Investment Company Shareholders

• Investment Advisors

• Investing Activities

• Interval Funds

• Investment Clubs

JKL

• Junk Faxes

• Limit Orders

M

• Management Discussion and Analysis

• Mutual Fund Prospectus, Tips for Reading One

• Mutual Funds

• Market Indices

• Money Market Funds

• Mutual Fund Fees and Expenses

• Market Makers

• Market Orders

• Market Centers: Buying and Selling Stock

• Mutual Fund Sales Loads

N

• Net Asset Value

O

• Old Stock Certificates

• Operating Activities

P

Q

• Quiet Period

• Q at the end of a ticker symbol

R

S

• Short Selling

• Short Selling Restrictions

• Selling Short Against the Box

• Securities Analyst Recommendations

• Securities Investor Protection Corporation (SIPC)

• Securities and Exchange Commission

• Stock Exchange Mutual Funds

• Spiders, SPDRS

• Stop Limit Orders

• Stop Orders

T

U

• Unit Investment Trusts (UIT's)

• Unauthorized Transactions

V

W

• What is the "ask" price?

XYZ

• Zero Coupon Bonds