Account Fee
A fee that some funds separately impose on investors for account maintenance. For example, individuals with accounts below a specified dollar amount may have to pay an account fee.
Accounts – Opening A Brokerage Account
For information on what to expect when opening a brokerage account, including what information you will need to provide, what decisions you will be asked to make, and what questions you should ask…
Accredited Investors
Under the federal securities laws, a company that offers or sells its securities must register the securities with the SEC or find an exemption from the registration requirements. The federal…
Accrued Interest
Interest earned on a security but not yet paid to the investor.
Advance Fee Fraud
Advance fee frauds ask investors to pay a fee up front – in advance of receiving any proceeds, money, stock, or warrants – in order for the deal to go through. The advance payment may be…
Affinity Fraud
Affinity fraud refers to investment scams that prey upon members of identifiable groups, such as religious or ethnic communities, the elderly, or professional groups. The fraudsters who promote…
After-hours Trading
After-hours trading, also known as extended-hours trading, refers to trading that occurs outside of regular trading hours. Regular trading hours for stocks traded on exchanges and certain other…
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…
Alternative Mutual Fund (Alt Fund)
Alternative mutual funds (sometimes called alt funds or liquid alts) are publicly offered, SEC-registered mutual funds that hold non-traditional…
Alternative Trading Systems (ATSs)
Alternative Trading Systems (ATSs) are SEC-regulated electronic trading systems that match orders for buyers and sellers of securities. An ATS is not a…
American Depositary Receipts (ADRs)
The stocks of most foreign companies that trade in the U.S. markets are traded as American Depositary Receipts (ADRs). U.S. depositary banks issue these stocks. Each ADR represents one or more shares…
Anexos 13D y 13G
Los Anexos 13D y 13G comúnmente se denominan “informes de beneficiarios activos.” El término “beneficiario activo” se define bajo las reglas de la SEC e incluye a cualquier persona que comparta…
Annual Meeting
Once-a-year meetings where the chief executive officer reports on the year's results to shareholders. At this meeting, shareholders vote to elect the board of directors and on other corporate…
Annual Report
The annual report to shareholders is a document used by most public companies to disclose corporate information to their shareholders. It is usually a state-of-the-company report, including an…
Annual Report (10K)
A report filed to the SEC by public companies that includes the company's history, audited financial statements, a discussion of products and services, a review of the organization and its…
Annual Return
An annual rate of return is the profit or loss on an investment over a one-year period. There are many ways of calculating the annual rate of return. If the rate of return is calculated on a…
Annuities
An annuity is a contract between you and an insurance company that is designed to meet retirement and other long-range goals, under which you make a lump-sum payment or series of payments. In return…
Arbitration and Mediation
Arbitration, a form of alternative dispute resolution, is a technique for the resolution of disputes outside the court system. In arbitration, the parties agree to have their dispute heard by…
Arbitration, Challenging a Decision, SEC Role
The SEC cannot act on behalf of a party (such as individual investors) in any arbitration proceeding and cannot overturn or change an arbitration panel's decision. In addition, arbitration decisions…
Arbitration, How To Find a Lawyer Specializing in Securities
If you need help in finding a lawyer who specializes in resolving securities complaints, you may want to try the following:
If you already have a lawyer, consult with them about your options and…
Asset
Any tangible or intangible item that has value in an exchange. A bank account, a home, or shares of stock are all examples of assets.
Asset Allocation
Asset allocation involves dividing your investments among different categories, such as stocks, bonds, and cash.
Asset Classes
Investments that have similar characteristics. The three main asset classes are stocks, bonds, and cash.