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Publisher: U.S. Securities and Exchange Commission (SEC) Initial Public Offerings (IPO) 
 Provides fact sheets "about IPOs, particularly why investors have difficulty getting shares in an IPO, the pricing differences between the IPO and secondary market trading, and a brokerage firm's IPO eligibility requirements." From the U.S. Securities and Exchange Commission (SEC). http://www.sec.gov/answers/ipo.htm Topics: Industries, Investing Last updated May 4, 2004 Invest Wisely: An Introduction to Mutual Funds
This site from the Securities and Exchange Commission (SEC) "explains the basics of mutual fund investing — how mutual funds work, what factors to consider before investing, and how to avoid common pitfalls." Includes discussions of advantages and disadvantages, different types of funds, and how to buy and sell shares. Also includes a glossary. http://www.sec.gov/investor/pubs/inwsmf.htm Topics: Investing Last updated Nov 26, 2003 The SEC Mutual Fund Cost Calculator
"The Mutual Fund Cost Calculator enables investors to easily estimate and compare costs of owning mutual funds." Includes frequently asked questions. From the U.S. Securities and Exchange Commission (SEC). http://www.sec.gov/investor/tools/mfcc/mfcc-int.htm Topics: Investing Last updated Oct 1, 2003 Signature Guarantees: Preventing the Unauthorized Transfer of Securities
This fact sheet explains the use of signature guarantees for transferring securities. These guarantees help prevent forged signatures. It discusses the three Medallion signature guarantee programs, where to obtain a signature guarantee ("the best source ... would be a bank, savings and loan association, brokerage firm, or credit union with which you do business"), problems with foreign signature guarantees, and related topics. From the U.S. Securities and Exchange Commission (SEC). http://www.sec.gov/answers/sigguar.htm Topics: Finance, Investing Last updated Mar 19, 2008 Anti-Money Laundering (AML) Source Tool
"This research guide, or 'source tool,' is a compilation of key [anti-money laundering] AML laws, rules, and guidance applicable to broker-dealers." Topics addressed include the Bank Secrecy Act, the USA PATRIOT Act, compliance and customer identification programs, suspicious activity monitoring and reporting, due diligence programs for foreign correspondent accounts, and other areas of concern for securities firms and financial institutions. From the U.S. Securities and Exchange Commission (SEC). http://www.sec.gov/about/offices/ocie/amlsourcetool.htm Topics: Money Last updated Mar 17, 2008 Tender Offer
This brief fact sheet explains a tender offer, which is "a broad solicitation by a company or a third party to purchase a substantial percentage of a company's Section 12 registered equity shares or units for a limited period of time." Includes links to related information about the Securities and Exchange Act and "mini-tender offers." From the U.S. Securities and Exchange Commission (SEC). http://www.sec.gov/answers/tender.htm Topics: Investing Last updated Apr 9, 2008 Stock and Bond Certificates, Old
Brief suggestions for researching an old stock or bond certificate, which "may still be valuable even if it no longer trades under the name printed on the certificate. ... Even if you learn that a certificate has no value, you may find that the certificate itself has value as a collectible." Includes descriptions of online and print resources. From the U.S. Securities and Exchange Commission (SEC). http://www.sec.gov/answers/oldcer.htm Topics: Investing Last updated Apr 13, 2009 |
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