Author: SEC

A Fill-Or-Kill order is an order to buy or sell a stock that must be executed immediately in its entirety; otherwise, the entire order will be cancelled (i.e., no partial execution of the order is allowed).  Learn More.

The SEC collects fees under various provisions of the securities laws, including the following: Section 6(b) of the Securities Act of 1933 (for registrations of securities); Section 13(e) of the Securities Exchange Act of 1934 (for specified repurchases of securities); Section 14(g) of the Securities Exchange Act of 1934 (for proxy solicitations and statements in… Continue reading FILING AND REGISTRATION FEES

Regulation FD addresses the selective disclosure of information by publicly traded companies and other issuers. Regulation FD provides that when an issuer discloses material nonpublic information to certain individuals or entities—generally, securities market professionals, such as stock analysts, or holders of the issuer’s securities who may well trade on the basis of the information—the issuer must also… Continue reading FAIR DISCLOSURE, REGULATION FD

The fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Exchange-traded funds (ETFs) are SEC-registered investment companies that offer investors a way to pool their money in a fund that invests in stocks, bonds, or other assets. In return, investors receive an interest in the fund.  Most ETFs are professionally managed by SEC-registered investment advisers.  Some ETFs are passively-managed funds that seek to achieve the… Continue reading EXCHANGE-TRADED FUND (ETF)

A fee that some funds impose on shareholders if they exchange (transfer) to another fund within the same fund group.

To determine whether you should get a dividend, you need to look at two important dates. They are the “record date” or “date of record” and the “ex-dividend date” or “ex-date.” When a company declares a dividend, it sets a record date when you must be on the company’s books as a shareholder to receive… Continue reading EX-DIVIDEND DATES: WHEN ARE YOU ENTITLED TO STOCK AND CASH DIVIDENDS

To determine whether you should get a dividend, you need to look at two important dates. They are the “record date” or “date of record” and the “ex-dividend date” or “ex-date.” When a company declares a dividend, it sets a record date when you must be on the company’s books as a shareholder to receive… Continue reading EX-DIVIDEND DATES

Fees that direct-sold college savings plans may charge to join in the program

The Employee Retirement Income Security Act of 1974, which is administered by the U.S. Department of Labor. ERISA does not require employers to offer a pension plan. But it does require employers who do offer them to meet certain minimum standards.