Personal Finance & Money Stack Exchange
Personal Finance & Money Stack Exchange

Questions tagged [sec]

United States Securities Exchange Commission - Regulatory Agency

The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. Here the SEC is concerned primarily with promoting the disclosure of important market-related information, maintaining fair dealing, and protecting against fraud.

https://www.sec.gov

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Is it possible to violate SEC rules within a retail brokerage account?

I am a small buy-and-hold investor. I recently asked a question about pump and dump scams: Will I be investigated if I regularly profit from pump and dump scams? One interesting comment by user @Steve-O says (emphasis mine): SEC: "Look at all these…
Flux
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SEC filings: Apple number of shares

I'm experiencing some trouble in understanding the evolution of the Apple number of shares. In particular, I am looking at its 10-Qs of 27 June 2020 and 26 December 2020. Here, I read that there were 4,275,634,000 shares in July 2020 and…
John Giorgio
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What dictates the costs of creating an options contract? (Commissions breakdown)

What are the exact components of options commissions? In other asset classes like stocks, I can clearly see the evolution of regulatory changes that allowed businesses to compete on the price of commissions, and the floor in pricing for stock trades…
CQM
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Is room and board a qualified expense?

My daughter recently started college, and I'm looking at paying for it out of her 529 account. A significant part of the cost is room and board. The IRS website about qualified educational expenses says that room and board are not a qualified…
Peter K.
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Get Revenue Details in Google Sheets using Google Finance

Recently I learned about GoogleFinance and it's feature to use Google Sheets to provide you with all stock market data using a formulae for eg. =GOOGLEFINANCE("GOOG", "price", "1/1/2014", "12/31/2014", "DAILY") I read the doc that I found,…
Aklank Jain
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Does material nonpublic information cover knowledge of unannounced products?

The most common definition I read of Material Nonpublic Information is something like this: Information is material if there is a substantial likelihood that a reasonable investor would consider it important in deciding whether to buy, hold or…
satur9nine
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Investing for family

I have a personal investing style which nets me exceptional returns for small investments (under $600k) and 2% - 8% better than index funds (annualized) on larger investments. Let's say my parents would like to get in on the action, but they don't…
user36048
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Why are there no exchange traded options on 3x leveraged ETNs

Since these would help me manage risk in my personal financial portfolio, why are there no exchange traded options on 3x leveraged ETNs? Is there a prohibition that the SEC is perpetuating? Is there an agreement amongst exchanges not to trade them?…
CQM
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How do I use a "Document Control Number" to access a filing on EDGAR?

I would like to read Reliance Industries Ltd's Form 12G32BR filing on EDGAR. However, the only document in that filing says: This document was generated as part of a paper submission. Please reference the Document Control Number 04010785 for access…
Flux
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Why would 8K Q4 income statement metrics be different from the difference between 10-K and the Q1-Q3 metrics?

For SEC filings, why would 8K income statement metrics be different from the 10-K metrics? Ie. share count reported in the 8K quarter 4 report is different from share count in 10-K Why can't you just get the metrics from subtracting q1, q2, and q3…
shoestringfries
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Is it likely that a London office of a US-based broker will have an SEC Officer 'in-house'?

Is it likely that the London office of a US-based broker will have an SEC Officer 'in-house'? This is in regard to confirming a purchase with the company. The call time was between 3am and 4am London time. I am in Australia. Company describe…
GeoffOz
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What is China's version of SEC/Edgar?

I use this page in the SEC (SEC Edgar Company Search) to search for annual reports (10-Ks) for companies in the US. What is the equivalent url that I would go to search for Chinese companies? For example, 600519 Kweichow Moutai. Please don't link me…
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Does the SEC require an announcement of hostile takeovers?

Elon Musk bought 9% (or so) of Twitter. Apparently he failed to make some sort of disclosure, which he is being sued for Musk started buying Twitter stock in January and acquired more than 5 percent of all shares by March 14, the lawsuit said.…
Machavity
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How can I know which underlying security an F share represents?

From my understanding, "F shares" are created by US broker-dealers to show quotes of foreign securities in USD (source: FAQ on F Shares - OTC Markets). If I know the symbol of an F share, is there a way I can know exactly which foreign underlying…
Flux
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Accredited investors when W-2 Box 12 reduces Box 1 income

My understanding is that to be an "accredited investor" as defined by the SEC, an individual must have $200,000 of earned income two years in a row. If a person has pre-tax deductions from their paycheck (e.g. 401k contributions, health insurance…
Daniel
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