Trusted Contact
A trusted contact is a person that you authorize your brokerage firm to contact in limited circumstances, such as if your broker has trouble reaching you or has a reasonable belief that your account may be exposed to possible financial exploitation.
Caregivers - Tips for Protecting Older Investors From Financial Frauds and Scams
If you are a caregiver, it is important to be aware of the warning signs of investment fraud. Be on the lookout for any sudden financial changes, any missing cash, or any unusual account withdrawals or wire transfers.
Schedules 13D and 13G
Schedules 13D and 13G are commonly referred to as a “beneficial ownership reports.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).
Shareholder Lists, When You Can Get Them
Although investors sometimes ask the SEC for a list of a company's shareholders, the SEC does not maintain shareholder lists.
Restricted Securities
Restricted securities are securities acquired in an unregistered, private sale from the issuing company or from an affiliate of the issuer. They typically bear a “restrictive” legend clearly stating that you may not resell them in the public marketplace unless the sale is exempt from the SEC’s registration requirements.
Unit Investment Trusts (UITs)
A unit investment trust UIT is one of three basic types of investment companies. The other two types are open-end funds (usually mutual funds) and closed-end funds.
Data Tagging
Data tagging, in formats like XBRL or “eXtensible Business Reporting Language,” is gaining popularity as a way to enhance financial reporting.
By using computer codes to "tag" different kinds of data in financial reports, the information companies file with the Commission can be made much easier to find and analyze. For example, specific items in a financial statement, such as net income or gross sales, are given computer-readable labels. At the same time, the task of preparing the reports can be automated for the companies who file them.
All-Or-None Order
An All-Or-None (AON) order is an order to buy or sell a stock that must be executed in its entirety, or not executed at all. AON orders that cannot be executed immediately remain active until they are executed or cancelled.
Day Order
Unless an investor specifies a time frame for the expiration of an order, orders to buy and sell a stock are “Day” orders, meaning they are good only during that trading day. Day orders that do not execute during regular trading hours expire and will not automatically carry over into after-hours trading or the next regular trading day.
Fill-Or-Kill Order
A Fill-Or-Kill order is an order to buy or sell a stock that must be executed immediately in its entirety; otherwise, the entire order will be cancelled (i.e., no partial execution of the order is allowed).