Understanding the Outdated SEC Rule on Shareholder Reporting
A series of banking regulatory agreements aimed at strengthening bank capital requirements and risk management.
A humorous take on how old rules still apply in the land of change.
Insider information refers to material facts about a company that are not yet public and can create an unfair advantage in trading.
The Ontario Securities Commission is the largest securities regulator in Canada, tasked with administering and enforcing the province's securities laws.
A financial rule aimed at ensuring investors receive the best execution price for their trades.
A Pattern Day Trader (PDT) is a trader who executes four or more day trades within a five-day period.
An Overview of Regulation CC: Making Deposits Less of a Wait!
A quick dive into SEC Regulation D, your VIP pass to private capital fundraising!
An Overview of SEC Form 13F and Its Importance in Market Transparency
Detailed Overview of SEC Form ADV: An Essential Guide for Investment Advisers and Their Clients
Interpreting Financial Adviser Laws and Regulations
A Self-Regulatory Organization (SRO) is a non-governmental entity with the power to create and enforce industry regulations and standards.
The EU's handsome regulatory framework for managing and selling mutual funds.
