Laws & Regulations - Categories - Financial Literacy for Everyone - Bambarbia

10-K Wrap

Laws & Regulations SEC Financial Terms Dictionary

The 10-K wrapper is part of a larger annual performance document required by the SEC.

10-Q SEC Form

Fundamental Analysis Laws & Regulations Financial Terms Dictionary

Form SEC 10-Q is a comprehensive statement of financial results filed quarterly by all public companies with the Securities and Exchange Commission.

2000 Investor Limit

Laws & Regulations Markets News SEC Financial Terms Dictionary

The 2,000 investor limit or rule is a key threshold for private businesses that are unwilling to disclose financial information for public consumption.

500-Shareholder Threshold

Laws & Regulations SEC Financial Terms Dictionary

The 500 shareholder threshold was a rule set by the SEC that required companies to publicly disclose financial statements and other information if they reached 500 or more individual shareholders.

8-K (Form 8K)

Laws & Regulations SEC Financial Terms Dictionary

The US Securities and Exchange Commission requires companies to file a Form 8-K to report significant shareholder related events.

Adjudication

Economics Guide to Microeconomics Laws & Regulations Financial Terms Dictionary

Litigation is the process by which the judge of the court resolves disputes between two parties.

Anti Money Laundering (AML)

Laws & Regulations SEC Financial Terms Dictionary

Efforts to combat money laundering (AML) aim to make it more difficult to hide the proceeds of crime.

Anticipatory Breach

Laws & Regulations Financial Terms Dictionary

A pre-emptive breach or repudiation of a contract precedes a failure by one of the parties to fulfill its contractual obligations to the other party.

Appellate Courts

Laws & Regulations SEC Financial Terms Dictionary

Courts of Appeal hear and consider appeals in cases that have already been heard and decided in the lower courts.

Arbitration

Laws & Regulations SEC Financial Terms Dictionary

Arbitration is not the same as filing an investor complaint.

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