Browsing: Guides
IntroductionFINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the securities industry in the United States. It is…
IntroductionThe Foreign Account Tax Compliance Act (FATCA) is a United States federal law that requires U.S. taxpayers to report their…
IntroductionThe Securities Investor Protection Corporation (SIPC) is a nonprofit organization that provides insurance to investors in the event of a…
IntroductionNSCC (National Securities Clearing Corporation) is a clearinghouse that provides clearing and settlement services for securities transactions. It is a…
IntroductionDTC (Depository Trust Company) is a financial services company that provides electronic securities trading services to its clients. It is…
IntroductionCUSIP (Committee on Uniform Security Identification Procedures) is a nine-character alphanumeric code used to uniquely identify securities, such as stocks,…
IntroductionSEC Form DEF 14A is a filing with the U.S. Securities and Exchange Commission (SEC) that provides information about a…
IntroductionSEC Form 10-Q is a quarterly filing with the Securities and Exchange Commission (SEC) that provides investors with a comprehensive…
IntroductionSEC Form 144 is a form used by individuals to report their intention to sell restricted securities. It is filed…