Investors sometimes complain to the SEC staff about late payments of interest owed to them on their bonds. The SEC, however,…
Terms used to describe a company’s size and market value (market capitalization).
Bonds that are believed to have a lower risk of default and receive higher ratings by the credit rating agencies,…
A company that issues and invests in securities. The three types of investment companies are mutual funds, closed-end funds, and…
The Investment Adviser Registration Depository (IARD) functions as a one-stop electronic filing system for investment advisers. All SEC-registered investment advisers and…
The Investment Adviser Public Disclosure (IAPD) database contains registration documents filed by investment adviser firms that register electronically using the Investment Adviser Registration Depository (IARD).…
An investment adviser is a person or firm that is engaged in the business of providing investment advice to others…
The SEC’s Division of Enforcement conducts investigations into potential violations of the federal securities laws. Common violations include misrepresenting important…
To engage in any activity in which money is put at risk for the purpose of making a profit.