Oct 31, 2017
… The Investment Adviser Registration Depository (IARD ) functions as a one-stop electronic filing system for investment advisers. All SEC-registered investment advisers and investment advisers applying to …
Oct 31, 2017
… positive return. Hedge funds typically have more flexible investment strategies than mutual funds. Many hedge funds … by using leverage (in other words, borrowing to increase investment exposure as well as risk), short-selling and other speculative investment practices that are not often used by mutual funds. …
Oct 20, 2017
… mortgage obligations (CMOs) or real estate mortgage investment conduits (REMICs), consist of multiple classes of … securities designed to appeal to investors with different investment objectives and risk tolerances. In a CMO, …
Oct 18, 2017
… Real estate investment trusts (“REITs”) allow individuals to invest in … properties primarily to operate them as part of its own investment portfolio. Additional Information Real Estate Investment Trusts (REITs) Investor Bulletin: Publicly Traded …
Oct 18, 2017
… offices. Even if you learn that a certificate has no investment value, you may find that the certificate itself …
Oct 17, 2017
… as a result of damage from the California wildfires, to investment scams that may take advantage of the disaster. … as wildfires, floods and hurricanes often give rise to investment scams. These scams can take many forms, including … insurance payouts, should be extremely wary of potential investment scams related to the California wildfires. Be …
Oct 16, 2017
… High-Yield Investment Programs (HYIP) are unregistered investment … – Avoiding Fraud Internet Fraud: How to Avoid Internet Investment Scams Investor Alert: "Prime Bank" Investment Are Scams … … High-Yield Investment Programs …
Oct 16, 2017
… The laws also license brokerage firms, their brokers, and investment adviser representatives. … … Blue Sky Laws …
Oct 16, 2017
… A unit investment trust UIT is one of three basic types of investment companies . The other two types are open-end funds … at the market price. A UIT does not actively trade its investment portfolio. A UIT buys a relatively fixed portfolio …
Oct 16, 2017
… better identify “outliers” that could represent attractive investment opportunities – or increased risk of misstatements …