The Public Company Accounting Oversight Board (also known as the PCAOB) is a private-sector, nonprofit corporation created by the Sarbanes-Oxley Act…
A company that offers its securities through an offering and now has those securities traded on the open market.
A way for shareholders to vote for corporate directors and on other matters affecting the company without having to personally…
A company is required to file its proxy statements with the SEC no later than the date proxy materials are first sent…
A document sent to shareholders letting them know when and where a shareholders’ meeting is taking place and detailing the…
Proving securities ownership is easier if you can remember how the security was acquired. Brokerage Firm If you bought the…
A document that describes the mutual fund to prospective investors. Every mutual fund provides a prospectus with information about the…
Promissory notes are a form of debt that companies sometimes use to raise money. They typically involve investors loaning money…
A summary of key information about an ETF that explains how to obtain a prospectus.