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Browsing by the letter "S"
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Section 16(a)
Definition: Provision of the Securities Exchange Act of 1934 that requires company insiders to file periodic reports disclosing their holdings and changes in beneficial ownership of the company's equity securities.
Definition: Provision of the Securities Exchange Act of 1934 that requires company insiders to file periodic reports disclosing their holdings and changes in beneficial ownership of the company's equity securities.
Section 16(b)
Definition: Provision of the Securities Exchange Act of 1934 that requires that any profit realized by a company insider from the purchase and sale, or sale and purchase, of the company's equity securities within a period of less than six months must be returned to the company. It is also known as the "short-swing profit" rule.
Definition: Provision of the Securities Exchange Act of 1934 that requires that any profit realized by a company insider from the purchase and sale, or sale and purchase, of the company's equity securities within a period of less than six months must be returned to the company. It is also known as the "short-swing profit" rule.
Section 423
Definition: The government agency responsible for the supervision and regulation of the securities industry and markets, as well as public securities offerings and the ongoing disclosure obligations of public companies.
Definition: The government agency responsible for the supervision and regulation of the securities industry and markets, as well as public securities offerings and the ongoing disclosure obligations of public companies.
Section 83(b) Election
Definition: A tax filing within 30 days of grant that allows employees granted stock to pay taxes on the grant date instead of on the date restrictions lapse. If an employee files the election, taxes are based on the fair market value on the grant date, with any future appreciation taxed as a capital gain. If the employee does not file an election, taxes are based on the fair market value on the date the restrictions lapse, which will be higher assuming the stock has appreciated in value.
Definition: A tax filing within 30 days of grant that allows employees granted stock to pay taxes on the grant date instead of on the date restrictions lapse. If an employee files the election, taxes are based on the fair market value on the grant date, with any future appreciation taxed as a capital gain. If the employee does not file an election, taxes are based on the fair market value on the date the restrictions lapse, which will be higher assuming the stock has appreciated in value.
Sector
Definition: Used to characterize a group of securities that are similar with respect to maturity, type, rating, industry, and/or coupon.
Definition: Used to characterize a group of securities that are similar with respect to maturity, type, rating, industry, and/or coupon.
Sector Allocation
Definition: Investment of certain proportions of a portfolio in certain sectors. See: Industry allocation.
Definition: Investment of certain proportions of a portfolio in certain sectors. See: Industry allocation.
Sector Diversification
Definition: Constituting of a portfolio of stocks of companies in each major industry group.
Definition: Constituting of a portfolio of stocks of companies in each major industry group.
Sector Fund
Definition: A mutual fund that concentrates on a relatively narrow market sector. These funds can experience higher share price volatility than some diversified funds because sector funds are subject to common market forces specific to a given sector.
Definition: A mutual fund that concentrates on a relatively narrow market sector. These funds can experience higher share price volatility than some diversified funds because sector funds are subject to common market forces specific to a given sector.
Sector Rotation
Definition: An active asset management strategy certain sectors, that tactically overweights and underweights depending on expected performance. Sometimes called rotation.
Definition: An active asset management strategy certain sectors, that tactically overweights and underweights depending on expected performance. Sometimes called rotation.
Secured Bond
Definition: A bond backed by the pledge of collateral, a mortgage, or other lien, as opposed to an unsecured bond, called a debenture .
Definition: A bond backed by the pledge of collateral, a mortgage, or other lien, as opposed to an unsecured bond, called a debenture .
Secured Debt
Definition: Debt that has first claim on specified assets in the event of default.
Definition: Debt that has first claim on specified assets in the event of default.
Securities
Definition: Paper certificates (definitive securities) or electronic records (book-entry securities) evidencing ownership of equity (stocks) or debt obligations (bonds).
Definition: Paper certificates (definitive securities) or electronic records (book-entry securities) evidencing ownership of equity (stocks) or debt obligations (bonds).
Securities & Exchange Commission (SEC)
Definition: A federal agency that regulates the US financial markets. The SEC also oversees the securities industry and promotes full disclosure in order to protect the investing public against malpractice in the securities markets.
Definition: A federal agency that regulates the US financial markets. The SEC also oversees the securities industry and promotes full disclosure in order to protect the investing public against malpractice in the securities markets.
Securities Act Of 1933
Definition: First law designed to regulate securities markets, requiring registration of securities and disclosure.
Definition: First law designed to regulate securities markets, requiring registration of securities and disclosure.
Securities Acts Amendments Of 1975
Definition: Legislation to encourage the establishment of a national market system together with a system for nationwide clearing and settlement of securities transactions.
Definition: Legislation to encourage the establishment of a national market system together with a system for nationwide clearing and settlement of securities transactions.
Securities And Commodities Exchanges
Definition: Exchanges on which securities, options, and futures contracts are traded by members for their own accounts and for the accounts of customers.
Definition: Exchanges on which securities, options, and futures contracts are traded by members for their own accounts and for the accounts of customers.
Securities And Exchange Commission (SEC)
Definition: The Federal regulatory agency established in 1934 to administer Federal securities laws.
Definition: The Federal regulatory agency established in 1934 to administer Federal securities laws.
Securities And Exchange Commission Rules
Definition: Rules enacted by the SEC to assist in the regulation of US financial markets.
Definition: Rules enacted by the SEC to assist in the regulation of US financial markets.
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