Mortgage-backed securities (MBS) are debt obligations that represent claims to the cash flows from pools of mortgage loans, most commonly…
A money market fund is a type of mutual fund that has relatively low risks compared to other mutual funds and most…
"Mini-tender" offers are tender offers that, when consummated, will result in the person who makes the tender offer owning less…
The term “microcap stock” (sometimes referred to as “penny stock”) applies to companies with low or micro market capitalizations. Companies with…
Mergers are transactions involving the combination of generally two or more companies into a single entity. The need for shareholder…
Arbitration, a form of alternative dispute resolution, is a technique for the resolution of disputes outside the court system. The…
If you hold securities in physical certificate form and want to transfer or sell them, you will need to sign…
When a broker-dealer sells you securities out of its inventory, the broker-dealer acts as a principal in the transaction (that…
For information on circuit breakers and other market volatility procedures please read our investor bulletin “New Measures to Address Market…