What Was SEC Form 10-K405? SEC Form 10-K405 was a form used by the Securities and Exchange Commission (SEC) prior to 2003. SEC Form 10-K405 was used to indicate that an officer or director of a company failed to file Form 4, or similar insider trading disclosure forms, on time. Failure to file these forms
What Is SEC Form 10-QT? An SEC Form 10-QT is known as a transition report pursuant to SEC Rule 13a-10 or 15d-10. It is used when there is a presentation of financial statements during “transitional periods” rather than the standard three-month (quarterly) periods covered by a traditional SEC Form 10-Q. SEC Form 10-QT is typically
What Is a Scalper? Scalpers enter and exit the financial markets quickly, usually within seconds, using higher levels of leverage to place larger-sized trades in the hopes of achieving greater profits from minuscule price changes. A scalper, in the context of market supply-demand theory, also refers to a person who buys large quantities of in-demand
What Is the Scarcity Principle? The scarcity principle is an economic theory in which a limited supply of a good—coupled with a high demand for that good—results in a mismatch between the desired supply and demand equilibrium. Key Takeaways The scarcity principle is an economic theory that explains the price relationship between dynamic supply and
What Is the Scattergraph Method? The scattergraph (or scatter graph) method is a visual technique used in accounting for separating the fixed and variable elements of a semi-variable expense (also called a mixed cost) in order to estimate and budget for future costs. A semi-variable expense is more complicated to analyze since it is made
What Is Schedule 13D? Schedule 13D is a form that must be filed with the U.S. Securities and Exchange Commission (SEC) when a person or group acquires more than 5% of a voting class of a company’s equity shares. Schedule 13D must be filed within 10 days of the filer reaching a 5% stake. Schedule
What Is Schedule 13G? The Securities and Exchange Commission (SEC) Schedule 13G form is an alternative filing for the Schedule 13D form and is used to report a party’s ownership of stock which exceeds 5% of a company’s total stock issue. Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements. Schedule
What Is Schedule 14C? Schedule 14C lays out certain disclosure criteria for companies with securities registered with the Securities and Exchange Commission (SEC). Schedule 14C is a proxy statement that an attorney prepares when a public company holds its stockholders’ meeting each year. It is required when the issuer holds special meetings to vote on
What Is Schedule 14D-9? Schedule 14D-9 is a filing with the Securities and Exchange Commission (SEC) when an interested party, such as an issuer, a beneficial owner of securities, or a representative of either, makes a solicitation or recommendation statement to the shareholders of another company with respect to a tender offer. The company that
What Is a Schedule II Bank? A Schedule II bank is a subsidiary of a foreign bank that is permitted to do business in Canada. Typically, the names of these banks reflect their foreign subsidiary nature, such as Citibank Canada and the Amex Bank of Canada. A Schedule I bank is a domestic institution such
