A financial planner typically prepares financial plans for his or her clients. The kinds of services financial planners offer can vary widely. Some financial planners assess every aspect of your financial life—including saving, investments, insurance, taxes, retirement, and estate planning—and help you develop a detailed strategy or financial plan for meeting all your financial goals.… Continue reading FINANCIAL PLANNERS
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
The Financial Industry Regulatory Authority, a self-regulatory organization for the brokerage industry.
FINANCIAL ACCOUNTING STANDARDS BOARD (FASB)
The Financial Accounting Standards Board (FASB) is the accounting standard setter for purposes of the Federal Securities Laws. See GAAP.
FILL-OR-KILL ORDER
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.
FILING AND REGISTRATION FEES
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
FAIR DISCLOSURE, REGULATION FD
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
EXPENSE RATIO
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 FUND (ETF)
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)
EXCHANGE FEE
A fee that some funds impose on shareholders if they exchange (transfer) to another fund within the same fund group.
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: WHEN ARE YOU ENTITLED TO STOCK AND CASH DIVIDENDS