Securities And Exchange Commission - Law Dictionary Search Results
securities and exchange commission (sec)
securities and exchange commission (sec) The five-member board appointed by the president that regulates and oversees stock trading and enforces federal securities statutes. Source: FindLaw ...
securities and exchange commission
securities and exchange commission ...
Rule 10b-5
Rule 10b-5 [10b-5 from the section of the Securities Exchange Act of 1934 pursuant to which the rule was formulated] : a rule adopted by the Securities and Exchange Commission in furtherance of the Securities Exchange Act that outlaws fraud, deceit, misrepresentation, and manipulation in securities dealing in broad terms ...
securities act of 1934
securities act of 1934 The federal securities act regulating the public trading of securities. This legislation established the Securities and Exchange Commission. (15 U.S.C. Sec. 78) Source: FindLaw ...
prospectus
prospectus pl: -tus·es [-tə-səz] : a preliminary printed statement describing a business or other enterprise and distributed to prospective buyers, investors, or participants ;specif : a description of a new security issue supplied to prospective purchasers and providing a disclosure of detailed information concerning the company's business and financial standing NOTE: Under the Securities Act of 1933, the prospectus is part of the registration statement that must be filed with the Securities and Exchange Commission before a security may be offered or sold to the public. The Securities Act defines prospectus broadly as “any prospectus, notice, circular, advertisement, letter, or communication, written or by radio or television, which offers any security for sale or confirms the sale of any security.” ...
accredited investor
accredited investor : an investor that qualifies under the Securities Act of 1933 and related Securities and Exchange Commission regulations as one having at least a specified net worth and a certain level of knowledge and experience in financial matters ...
Form 10-K
Form 10-K : a financial disclosure form required by the Securities and Exchange Commission to be filed annually by companies issuing securities or having a threshold amount of gross assets ...
private offering
private offering : the sale of an issue of securities directly by the issuer to one or a few large investors without any public offering called also private placement compare public offering NOTE: A private offering is exempt from the requirements of filing a registration statement with the Securities and Exchange Commission and distributing prospectuses to potential buyers before the sale. ...
red herring
red herring [red herring something that distracts attention from the main issue, diversion] : a preliminary prospectus (as for the sale of securities) that is not yet approved by the appropriate body (as the Securities and Exchange Commission) ...
Regulation D
Regulation D : a regulation of the Securities and Exchange Commission governing the limited offer and sale (as by a private offering) of unregistered securities ...
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