Form CRS is a client or customer relationship summary. Advisers and brokers are required to deliver a relationship summary to…
Under the federal securities laws, any offer or sale of a security must either be registered with the SEC or…
Crowdfunding refers to a financing method in which money is raised through soliciting relatively small individual investments or contributions from…
Under the federal securities laws, any offer or sale of a security must either be registered with the SEC or…
The Securities Act of 1933 has two basic objectives: To require that investors receive financial and other significant information concerning…
A registration statement is a filing with the SEC making required disclosures in connection with the registration of a security,…
A registered owner or record holder holds stocks directly with the company, rather than in "street name." Registration Statement --…
A shareholder fee that some funds charge when investors redeem (sell) mutual fund shares. Redemption fees, which must be paid…
Investors who are victims of securities law violations may be eligible to receive money recovered from fraudsters. Sometimes a successful…
Rebalancing brings a portfolio back to its original asset allocation mix. This is necessary because over time, some investments will…