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Ofertas bajo el Reglamento D

Según las leyes federales de valores, cualquier oferta o venta de un valor debe registrarse ante la SEC o cumplir con una exención. El Reglamento D de la Ley de Valores proporciona una serie de…

Offering Document (or Official Statement or Prospectus)

The disclosure document prepared by a bond issuer that gives detailed financial information about the issuer and the bond offering. Municipal securities issuers must prepare an “Official…

Old Stock and Bond Certificates

An old stock or bond certificate may still be valuable even if it no longer trades under the name printed on the certificate. The company may have merged with another company or simply changed its…

Online Trading

Although you may save time and money trading online, it does not take the homework out of making investment decisions.  To avoid costly mistakes, investors who trade online should understand how our…

Open-end Company

The legal name for a mutual fund. An open-end company is a type of investment company.

Operating Expenses

The costs a fund incurs in running the fund, including management fees, distribution fees, and other expenses.

Options

Options are contracts giving the purchaser the right – but not the obligation -- to buy or sell a security at a fixed price within a specific period of time. Stock options are traded on a number of…

Order Types

There are different types of orders investors can use to buy and sell stocks through a brokerage firm.  Order types and trading instructions available to you may differ between brokerage firms.  You…

OTC Bulletin Board (OTCBB)

The OTC Bulletin Board (OTCBB) (link is external) is an electronic quotation system that displays real-time quotes, last-…

Over-The-Counter (OTC) Securities

Over-The-Counter (OTC) securities are securities not listed on a national securities…