Understanding Rule 10b-18 and its implications for share repurchases
Understanding Rule 10b-5: The Anti-Fraud Crusader of the Securities Market
Rule 144 regulates the sale of restricted securities to maintain fairness and transparency in securities trading.
A financial term describing a legal provision for trading privately placed securities among qualified institutional buyers without SEC registration.
Schedule 13D is a form filed with the SEC that reports beneficial ownership of significant shares.
A quarterly report that offers an insight into a public company's financial performance.
An Overview of SEC Form 13F and Its Importance in Market Transparency
Understanding SEC Form 3 and its importance in regulating insider trading.
Detailed Overview of SEC Form ADV: An Essential Guide for Investment Advisers and Their Clients
Interpreting Financial Adviser Laws and Regulations
A closer look at the SEC: protector of investors and overseer of securities markets.
A monumental legislation aimed at regulating securities transactions and enhancing market transparency.
Understand the concept of a trading halt in the financial markets
A beacon of stability and liquidity in the murky waters of financial markets.
A Voting Trust Agreement is a contractual arrangement that grants temporary control of voting rights to a trustee.
A Wells Notice is a regulatory communication indicating potential enforcement actions.
Wildcatting: Not Just for Cowboys! A Dive into the Financial Practice.
