Categories: Investor Definitions

Investment-Related – SEC Filing Term

Activities that pertain to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with an investment adviser, broker-dealer, municipal securities dealer, government securities broker or dealer, issuer, investment company, futures sponsor, bank, or savings association). [Used in: Part 6 1A, Items 7, 11, Schedule D, DRPs; Part 1B, Item 2; Part 2A, Items 9 and 19; Part 2B, Items 3, 4 and 7]

SEC

Share
Published by
SEC

Recent Posts

GVWR Class List

Federal Highway Administration GVWR Class Identification Find your vehicle's GVWR by decoding the vin. Class…

2 years ago

China CMIIT ID

China CMIIT ID is required for all wireless devices (cellular phones, modems, routers, etc.) imported…

2 years ago

Singapore Radio Type Approval (IMDA)

Singapore Radio Type Approval (IMDA) is a technical specification and compliance process for radio communications…

2 years ago

Waioder Meaning

Waioder Definition is not a meaningful term in any of the languages, and it isn't…

3 years ago

MNPI – Acronym Meaning

MNPI stands for Material Non-Public Information. Material information is accurate information that is not commonly…

3 years ago

Alien

US law defines “the alien” as “anyone who is not a US citizen,” and in…

3 years ago