Advance fee frauds ask investors to pay a fee up front – in advance of receiving any proceeds, money, stock, or…
nder the federal securities laws, a company that offers or sells its securities must register the securities with the SEC…
For information on what to expect when opening a brokerage account, including what information you will need to provide, what…
A fee that some funds separately impose on investors for account maintenance. For example, individuals with accounts below a specified…
Public companies file Form 8-K, known as the "current report," to the SEC to announce major events that shareholders should…
A 529 plan is a tax-advantaged savings plan designed to encourage saving for educational costs. 529 plans, legally known as…
A state, a state agency or educational institution that chooses a plan manager and determines the rules and limits for its…
A financial services firm — a mutual fund company, a brokerage firm, an investment adviser, or an insurance company — that…
529 plan document that has detailed information about the 529 plan; often called a disclosure statement, disclosure document, program description,…