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Form 144, required under Rule 144, is filed by a person who intends to sell either restricted securities or control securities (i.e., securities held by affiliates). Form 144 is notification to the SEC of this intention to sell and must take place at the time the sell order is placed with the broker-dealer. The securities may be sold within the ...
Some state laws and broker/dealer policies also require the Series 63 examination (known as the Uniform Securities Agent State Law Exam). [ citation needed ] [ 1 ] A registered representative ("RR" or "rep" or "broker") is authorized to sell a large array of securities such as stocks, bonds, options, mutual funds, limited partnership programs ...
A stockbroker is an individual or company that buys and sells stocks and other investments for a financial market participant in return for a commission, markup, or fee.In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of a stock exchange.
After announcing the price, the dealer must announce other essential conditions of the buy-sell contract of securities: minimum and maximum number of securities subject to purchase and/or sale, as well as the term of announced price's validity. Dealers perform all the functions of a stockbroker including financial consulting. They organize and ...
a disclosure statement (often called an offering memorandum or prospectus) providing all information potential investors need in order to make an investment decision; if applicable, state or federal regulatory approval. Subject to compliance with federal and state securities laws, a company may sell its shares to the public using a variety of ...
When the price of a stock reaches a level that cannot be justified by even the best estimates of future business performance, it could be a good time to sell your shares.
A stock transfer agent, transfer agent, share registry or transfer agency is an entity, usually a third-party firm unrelated to security transactions, that manages the change in ownership of company stock or investment fund shares, maintains a register of ownership and acts as paying agent for the payment of dividends and other distributions to investors.
Every time a 2-for-1 split occurred, your share count doubled, and the number tripled in February. Hence, your one share turned into 6,144 shares. The unadjusted split price was $16.50.