Understanding the Outdated SEC Rule on Shareholder Reporting
Understanding the Privileges of an Accredited Investor
A large, privately negotiated securities transaction designed to minimize market impact.
A Broker-Dealer is a financial entity involved in the business of buying and selling securities for its own account and its customers.
A fun exploration into the world of CMOs, mortgage-backed securities, and the wonders of bundled investment.
Understanding the electronic transfer of securities
Understanding the DTC and its role in securities depository.
Exploring the world of Equity-Linked Securities - the hybrid of stocks and bonds!
Execution in finance refers to the completion of a buy or sell order for a security.
A humorous yet informative look at exempt transactions in finance.
Fixed income investments that promise predictable cash flows.
An investment providing fixed periodic interest payments and the eventual return of principal at maturity.
Flat refers to a situation where security prices are stable; neither rising nor falling.
A financial procedure where an executing broker places a trade on behalf of another broker and 'gives up' credit for that transaction.
Understanding the requirements for the unimpaired transfer of ownership of securities.
A deprecated investment tool, learn the nuances of HOLDRs vs ETFs with a sprinkle of humor.
Understanding Hung Convertibles with a sprinkle of humor!
The thrilling world of naked options: risks and rewards
A Dive Into the 1996 Act for Simpler Securities Regulation
Understanding Non-Issuer Transactions in the Securities Market
Understanding Off-the-Run Treasuries: The less recognized players in the Treasury market.
An abbreviated prospectus provided for new security listings to inform potential investors.
A regulated quotation service for OTC securities provided by FINRA, now ceased.
Painting the tape is a market manipulation technique used to create the illusion of trading activity.
