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Securities Law Glossary
Trying to decipher an acronym? Attempting to understand legal jargon? The Securities Law glossary gives you access to definitions for the Securities Law terminology commonly used in documents and court proceedings. This Securities Law glossary will help you understand the legal terms and phrases which are relevant to fair disclosure issues, securities fraud, and other areas of Securities Law.
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The name of the annual financial report required by the SEC of all publicly held corporations.
A quarterly report that must be filed with the SEC by any company whose securities are traded on a national or over-the-counter market.
Blue Sky Laws
State statutes establishing standards for offering and selling securities. The purpose of these laws is to protect citizens from investing in fraudulent companies.
1 a : a usually formal written agreement by which a person undertakes to perform a certain act (as appear in court or fulfill the obligations of a contract) or abstain from performing an act (as ...
[Latin capitalis, from caput head, a person's life (as forfeit)] 1 a : punishable by death [ murder] b : involving execution [a case] 2 Medieval Latin capitalis chief, principal, from Latin caput ...
Certificate Of Deposit (Cd)
A bank document that evidences the existence of a time deposit that normally pays interest.
: the illegal use of esp. material inside information for profit in financial trading see also tippee
: owning or accumulating securities, goods, or commodities esp. in anticipation of a rise in prices [a buyer on wheat] compare short
Mandatory Delivery Commitment
an agreement that a lender will deliver loans or securities by a certain date at agreed-upon terms.
: a client's account with a brokerage firm through which the client may buy securities on the firm's credit
: the trade in short-term negotiable instruments (as certificates of deposit or U.S. Treasury securities)
: an issuance of securities for sale [raise capital through a public of stock]
1 : the power or right to choose ;also : a choice made or available 2 : a privilege of demanding fulfillment of a contract on any day within a specified time 3 : a contract conveying in exchange ...
: a detailed public disclosure of the terms and conditions of a public offering of a new issue of stock by a corporation NOTE: A registration statement is required by the Securities and Exchange ...
Securities Act Of 1933
The federal securities act regulating the initial public offering (IPO) of securities. (15 U.S.C. Sec. 77)
Securities Act Of 1934
The federal securities act regulating the public trading of securities. This legislation established the Securities and Exchange Commission. (15 U.S.C. Sec. 78)
Securities And Exchange Commission
The federal governmental agency that maintains order of the stock and securities exchanges
Securities And Exchange Commission (Sec)
The five-member board appointed by the president that regulates and oversees stock trading and enforces federal securities statutes.
-tized -tiz·ing : to convert (assets) into securities typically by transferring them (as by sale) to a special trust, partnership, or corporation that issues them as securities with a resulting ...
: one that owns a share in a fund (as a mutual fund) or property ;esp : stockholder see also derivative action, equity, proxy contest share·hold·ing adj or n
: a provision of Securities and Exchange Commission regulations governing public offerings that allows corporations to defer sale of some shares after registration until market conditions are more ...
1 a : the equipment, materials, or supplies of a business b : a store or supply accumulated ;esp : the inventory of the goods of a merchant or manufacturer 2 : the ownership element in a ...