What Is the SEC Fee? The SEC fee is a nominal fee attached to the sale of exchange-listed equities, above and beyond any associated brokerage commissions, which may ultimately be absorbed by investors. The SEC fee is defined in Section 31 of the Securities Exchange Act of 1934 and is thus often referred to as
What Is SEC Form 10? SEC Form 10 is a filing with the Securities and Exchange Commission (SEC), also known as the General Form for Registration of Securities. It is used to register a class of securities for potential trading on U.S. exchanges. Any company with over $10 million in total assets and 750 or more shareholders
What Is SEC Form 10-12G? SEC Form 10-12G is a filing with the Securities and Exchange Commission (SEC), also known as the General Form for Registration of Securities. This form is required when a corporation wishes to register a class of securities according to Section 12(b) or (g) of the Securities Exchange Act of 1934.
What Is SEC Form 10-C? The SEC Form 10-C was a form filed with the Securities and Exchange Commission (SEC) by companies whose securities were quoted on the NASDAQ interdealer quotation system. This form was used any time there was a change in outstanding shares in excess of 5% or if there was a change
What Is SEC Form 10-D? SEC Form 10-D is a filing with the Securities and Exchange Commission (SEC), also known as the Asset-Backed Issuer Distribution Report. Certain asset-backed security (ABS) issuers use it to notify regulators and investors of interest, dividends, and capital distributions. An asset-backed security is a financial security that has a pool
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
