Form 13D
Categories: Stocks, Investing and Trading,
form that must be filed with the securities and exchange commission (SEC) to report when an investor has acquired shares of common stock in a public company totaling more than 5%. The form must be filed within 10 days of the acquisition and can often alter the direction of the stock depending on the investors. For example, if Warren Buffet acquires 5% of common stock in company ABC, which is publicly traded, other investors may buy up a lot of the shares thinking that it is a good investment.
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Definition / Meaning of
NASD
Categories: Brokerages, Compliance and Governance,
NASD is the largest self-regulatory organization (SRO) in the United States. Formerly known as the national association of securities dealers, NASD regulates broker-dealer firms and licenses registered representatives - better known as stockbrokers - who make a business of trading securities. In addition, NASD regulates trading in stocks, mutual funds, variable annuities, corporate bonds, and futures and options contracts on securities, and acts as regulator for a number of securities exchanges, NASD also reviews materials that investment companies provide to their clients and prospective clients to ensure those materials comply with the relevant guidelines. Through its BrokerCheck database, NASD provides a resource for investors to check the credentials of people and firms with whom they're considering working. The NASD website also provides investor education and alerts on current issues of importance to investors. Finally, NASD also resolves disputes between broker-dealers and their clients, through either mediation or arbitration. NASD disciplines firms and individuals who violate the rules.
Most popular terms
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