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pursuant to the requirements of the Securities Exchange Act of 1934

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  • Securities Act of 1933 — Congress enacted the Securities Act of 1933 (the 1933 Act, the Truth in Securities Act or the Federal Securities Act , USStat|48|74, enacted 1933 05 27, codified at usc|15|77a et seq. ), in the aftermath of the stock market crash of 1929 and… …   Wikipedia

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  • Private Securities Litigation Reform Act — The United States Private Securities Litigation Reform Act of 1995 (PSLRA) implemented several substantive changes affecting certain cases brought under the federal securities laws, including changes related to pleading, discovery, liability,… …   Wikipedia

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  • Freedom of Information Act (United States) — This article is about the U.S. federal law. For freedom of information in the fifty U.S., see Freedom of information in the United States. For freedom of information in other countries, see Freedom of information legislation. The Freedom of… …   Wikipedia

  • Net capital rule — The uniform net capital rule is a rule created by the U.S. Securities and Exchange Commission ( SEC ) in 1975 to regulate directly the ability of broker dealers to meet their financial obligations to customers and other creditors.[1] Broker… …   Wikipedia

  • Short (finance) — Schematic representation of short selling in two steps. The short seller borrows shares and immediately sells them. He then waits, hoping for the stock price to decrease, when the seller can profit by purchasing the shares to return to the lender …   Wikipedia

  • SEC Form 11-K — A form filed with the Securities and Exchange Commission (SEC). Used for annual reports, this form deals with employee stock purchases and savings plans with interests in securities registered under the Securities Act of 1933. A Form 11 K is… …   Investment dictionary

  • SEC Rule 10b-5 — is one of the most important rules promulgated by the U.S. Securities and Exchange Commission, pursuant to its authority granted under the Securities Exchange Act of 1934. The rule prohibits any act or omission resulting in fraud or deceit in… …   Wikipedia

  • Article One of the United States Constitution — United States of America This article is part of the series: United States Constitution Original text of the Constitution Preamble Articles of the Constitution I  …   Wikipedia

  • Form 10-K — A Form 10 K is an annual report required by the U.S. Securities and Exchange Commission (SEC), that gives a comprehensive summary of a public company s performance. Although similarly named, the annual report on Form 10 K is distinct from the… …   Wikipedia

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