The Securities and Exchange Commission (SEC) is a governmental regulatory agency established by Congress which polices the practices of the securities industry.
Since 1934, the SEC's mission has been to protect investors and the market from malfeasance. FINRA (the 2007 successor to the NASD which was formed in 1939) is a self-regulatory organization in the industry which seeks to keep member firms more than compliant with SEC regulations.
Some of the specific things the SEC looks for are insider trading, inappropriate marketing practices, and investor protection issues.
What Does it Mean to have a "Duty of Best Execution"?
What is Due Diligence?
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Dividends are paid at certain intervals by companies who pay them. This might be quarterly, annually, or semi-annually
Many studies have investigated the benefits of purchasing IPOs, and the results might surprise you
The Broadening Bottom pattern is formed when a stock price progressively makes higher highs and lower lows
The Triple Bottom pattern appears when there are three distinct low points that represent a consistent support level
Subprime loans are loans made by institutions to individuals who do not meet the standards for a desirable loan client
Terminal value is a term used in value calculations looking forward toward the future value of an asset or cash flow
The largest single-day point gain occurred on October 13, 2008 and, the largest percentage gain was on March 15, 1933
A long-term relationship with one advisor is preferable to many short-term relationships
You may wish to construct your own asset allocation, but there are asset allocation programs available which can take...