Accredited Investor - A term defined by various securities laws that delineates investors permitted to invest in certain types of higher risk investments, limited partnerships, hedge funds, and angel investor networks. The term generally includes wealthy individuals and organizations such as a corporation, endowment, or retirement plans. In the United States, for an individual to be considered an accredited investor, they must have a net worth of at least one million US dollars or have made at least $200,000 each year for the last two years ($300,000 with his or her spouse if married) and have the expectation to make the same amount this year." This rule came into effect in 1933 by way of the Securities Act of 1933. Also see Wikipedia.
Aksia - An independent hedge fund research and advisory firm headquartered in New York.
Alternative Investment Management Association (AIMA) - Global hedge fund industry organisation that represents the interests of the industry - including hedge fund managers, fund of hedge fund managers, prime brokers, legal and accounting firms, investors, fund administrators and independent fund directors - around the world.
Bernstein Research - In independent surveys of major institutional clients, Bernstein's research is ranked #1 for overall quality, industry knowledge, most trusted, best detailed financial analysis, major company studies, most useful valuation frameworks, best original research, and most willing to challenge management.
Better Investing - Dedicated to providing a sound program of investment education and support to its members.
Better Markets - Promotes and protects the public's interest on Wall Street and through the financial reform process.
Blue Chip List - Provides information about the best blue chip stocks in the world.
Bogleheads Forum - Investing advice inspired by the example of Jack Bogle. The Bogleheads forum is dedicated to the civil discussion of investing, personal finance, and consumer issues.
Boston Common Asset Management - A full-service, employee-owned social investment firm dedicated to the pursuit of financial return and social change.
Calculating the Real Rate of Return on Investments - How much did your investments really earn last year? You can calculate a rate of return, but if you don't adjust it for inflation and taxes, you're not getting the real rate of return. This is the difference between the nominal interest rate and the real interest rate. You want to know the real rate, since that is the only number that means anything. Think of it this way: the nominal interest rate tells you the growth rate of your money, while the real interest rate tells you how much your purchasing power is growing.
Capital Link - Provides investor relations services to an extensive roster of corporations worldwide.
Carlyle Group, The - A global alternative asset manager with more than $156 billion in assets under management across 99 funds and 63 fund of funds vehicles. Founded in 1987 in Washington, DC, Carlyle has grown into one of the world's largest and most successful investment firms, with more than 1,300 professionals operating in 32 offices in North America, South America, Europe, the Middle East, North Africa, Sub-Saharan Africa, Japan, Asia and Australia.
CBOE Volatility Index - A key measure of market expectations of near-term volatility conveyed by S&P 500 stock index option prices. Since its introduction in 1993, VIX has been considered by many to be the world's premier barometer of investor sentiment and market volatility. Colloquially known as "Wall Street's fear gauge."
Chicago Board Options Exchange (CBOE) - The largest U.S. options exchange and creator of listed options, continues to set the bar for options trading through product innovation, trading technology and investor education. CBOE offers equity, index and ETF options, including proprietary products, such as S&P 500 options (SPX), the most active U.S. index option, and options on the CBOE Volatility Index (VIX), the world's barometer for market volatility.
ClearStation - Financial advisory Web site that helps investors make more profitable investment decisions by identifying and interpreting stock trends.
Consuelo Mack WealthTrack - Public TV show devoted to long-term diversified investing in stocks, bonds, real estate, insurance, art and collectibles.
Committee of European Securities Regulators (CESR) - Provides advice to the European Commission, contributes to the bi-annual analysis on macro-economic trends of European financial markets conducted by the Economic and Financial Committee (an advisory body of the European Council). CESR also attends, as an observer, working groups led by market participants in various fields of financial market regulation. These include the Forum Groups established by the European Commission on Financial Analysts and the Groups on Post-Financial Services Action Plan (securities and asset management), and the ACI-STEP Task Force on Short-Term European Paper.
Committee on Foreign Investment in the United States (CFIUS) - CFIUS is an inter-agency committee authorized to review transactions that could result in control of a U.S. business by a foreign person ("covered transactions"), in order to determine the effect of such transactions on the national security of the United States. CFIUS operates pursuant to section 721 of the Defense Production Act of 1950, as amended by the Foreign Investment and National Security Act of 2007 (FINSA) (section 721) and as implemented by Executive Order 11858, as amended, and regulations at 31 C.F.R. Part 800.
Computershare - Sponsors or administers hundreds of dividend reinvestment and direct stock purchase plans. To find plan details, online investment options and more, use tools on this page.
Cornerstone Research - Concentrates in securities, antitrust, intellectual property, and financial litigation. Together with Stanford Law School, Cornerstone sponsors the Securities Class Action Clearinghouse, a leading source of data and analytical information regarding the financial and economic characteristics of securities class action litigation.
CUSIP - The acronym CUSIP historically refers to the Committee on Uniform Security Identification Procedures, which was founded in 1964, during the paper crunch in Wall Street. This 9-character alphanumeric code identifies any North American security for the purposes of facilitating clearing and settlement of trades. The CUSIP distribution system is owned by the American Bankers Association and is operated by Standard & Poor's. The CUSIP Service Bureau acts as the National Numbering Association (NNA) for North America, and the CUSIP serves as the National Securities Identification Number for products issued from both the United States and Canada. Also see Wikipedia.
CyberSecurities Law - Securities regulation and the Internet resource intended for lawyers, business executives and financial professionals.
Depository Trust & Clearing Corporation (DTCC) - Based primarily at 55 Water Street in New York City, is the world's largest post-trade financial services company. It was set up to provide an efficient and safe way for buyers and sellers of securities to make their exchange, and thus "clear and settle" transactions. It also provides custody of securities. User-owned and directed, it automates, centralizes, standardizes, and streamlines processes that are critical to the safety and soundness of the world's capital markets. See Wikipedia article.
Derivatives Study Center - Conducting research into financial markets, their impact on the economy and the proper level of regulation and taxation of those markets. Also see links page.
Dezan Shira & Associates - A specialist foreign direct investment practice, providing corporate establishment, business advisory, tax advisory and compliance, accounting, payroll, due diligence and financial review services to multinationals investing in emerging Asia. Since its establishment in 1992, the firm has grown into one of Asia's most versatile full-service consultancies with operational offices across China, Hong Kong, India, Singapore and Vietnam, in addition to alliances in Indonesia, Malaysia, Philippines and Thailand, as well as liaison offices in Italy, Germany and the United States.
Dividend - Profiles, news, research, data, and ratings for thousands of dividend-paying stocks.
Federal Deposit Insurance Corporation (FDIC) - An independent agency of the United States government that protects against the loss of insured deposits if an FDIC-insured bank or savings association fails. FDIC deposit insurance is backed by the full faith and credit of the United States government. Note: Congress has temporarily increased FDIC deposit insurance from $100,000 to $250,000 per depositor through December 31, 2009. Changes have also been made to other account types. See following sites for more information on how FDIC may help protect your savings.
Electronic Deposit Insurance Estimator (EDIE) - EDIE the Estimator can calculate your FDIC insurance coverage for each FDIC-insured bank where you have deposit accounts. EDIE lets you know in a printable report for each bank whether your deposits are within or exceed coverage limits.
Fidelity ActiveQuote - Enter search criteria for the stock, mutual fund, index, or annuity you want to lookup. You can use Fidelity's Symbol Lookup to find the following for a stock, mutual fund, index or annuity or select an option from a dropdown list to search forfixed-income securities.
Financial Adviser Conflicts of Interest: USDOL Final Rule - The Department's conflict of interest final rule and related exemptions protects investors by requiring all who provide retirement investment advice to plans, plan fiduciaries and IRAs to abide by a "fiduciary" standard—putting their clients' best interest before their own profits. The rule describes the kinds of communications that would constitute investment advice and then describes the types of relationships in which those communications would give rise to fiduciary investment advice responsibilities.
Financial Calculators (Bank of the West) - Bank of the West has calculators to help you make your banking decisions including; car loan calculator, auto loan calculator, mortgage calculator, home loan calculator, mortgage rate calculator, savings calculator.
Financial Conduct Authority (FCA) - The conduct regulator for 56,000 financial services firms and financial markets in the UK and the prudential regulator for over 18,000 of those firms
Financial Engines - A leading provider of investment advisory services to the workplace and to financial institutions. The Forecast and Analysis Engine provides a comprehensive analysis of any portfolio consisting of funds, stocks and other financial assets. The Advice Engine generates investment recommendations to assist each investor to reach his or her specific financial goals and makes recommendations from among the investment choices available for each account. The Monitoring Engine provides ongoing portfolio monitoring and notification services help to keep investors on track.
Financial Industry Regulatory Authority (FINRA) - The largest independent regulator for all securities firms doing business in the United States. Oversees nearly 5,000 brokerage firms, 175,000 branch offices and 680,000 registered securities representatives. Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.
Financial Management Service (FMS) - The U.S. Government's financial manager, central disburser, and collections agent, as well as its accountant and reporter of financial information.
Financial Repression Authority (FRA) - Educates and identifies the globalized solutions for investors, funds and retirees for the creation, preservation and storage of wealth in an era of adverse risks resulting from macroprudential (good-intentioned) central bank policies, government fiscal policies and financial regulations focused on controlling excessive government debt, attempting to stimulate economic growth, and minimizing the potential for financial and economic crises.
Fool.com (Motley Fool) - Finance news and commentary, stock strategies, research and data, personal finance, investing strategy, retirement.
Forensic Asia - A Hong Kong based independent research firm regulated by the Securities and Futures Commission. We aim to publish the uncomfortable truths that are uncovered from in-depth balance sheet analysis, highlighting companies under-or overstating profits relative to cash flow.
Forex Trading - The latest forex tutorials, articles, news, and more.
FundersClub - Gain access to, review, and invest in promising startups via this web and mobile-enabled startup investing platform. After investing, keep up to date with news, updates, and portfolio analysis features.
GFMS - Precious metals consultancy, specialising in research into the global gold, silver, platinum and palladium markets.
Glass Lewis - Supports the creation and preservation of long-term shareholder value through best-in-class proxy voting solutions and high quality, independent analysis of governance, finance, accounting, legal and political risks at public companies worldwide.
Green America - Empowering individuals to make purchasing and investing choices that promote social justice and environmental sustainability; demanding an end to corporate irresponsibility through collective economic action; promoting green and fair trade business principles while building the market for businesses adhering to these principles; building sustainable communities in the US and abroad.
Green Stock Watch - Learn about the stocks that are leading the way to a green society.
Hartford Investor - Founded in 1810, The Hartford Financial Services Group, Inc., is one of the largest insurance and investment companies based in the United States, with offices in the United States, Japan, the United Kingdom, Canada, Brazil and Ireland. The Hartford is a leading provider of life insurance, group and employee benefits, automobile and homeowners insurance and business insurance - as well as investment products, annuities, mutual funds, and college savings plans.
Hedge Funds - Perspectives from regulatory agencies and the business community.
HedgeWorld - Online marketplace for hedge funds, offering accredited investors and their intermediaries the ability to invest in a wide variety of hedge funds.
IEX - The first equity trading venue owned exclusively by a consortium of buy-side investors, including mutual funds, hedge funds, and family offices. Dedicated to institutionalizing fairness in the markets, IEX provides a more balanced marketplace via simplified market structure design and cutting-edge technology. Also see Wikipedia article.
Indices of Securities Class Action Filings - These indices haracterize the intensity of securities litigation activity through time. The indices incorporate market information about declines in stock prices over selected portions of class periods as proxies for the potential loss of defendants and their insurance carriers.
Real-time Insider Stock Trading Report - Lists insider stock purchases within minutes as they are reported to the SEC. Keep in mind that insiders have two business days to report their trades and the insider buying activities in this report may lag the actual stock transactions date by up to two business days.
IntercontinentalExchange (ICE) - American financial company that operates Internet-based marketplaces which trade futures and over-the-counter (OTC) energy and commodity contracts as well as derivative financial products. Also see Wikipedia.
International Centre for Settlement of Investment Disputes (ICSID) - An autonomous international institution established under the Convention on the Settlement of Investment Disputes between States and Nationals of Other States with over one hundred and forty member States. The Convention sets forth ICSID's mandate, organization and core functions. The primary purpose of ICSID is to provide facilities for conciliation and arbitration of international investment disputes.
Invesco - Offers a broad array of open-end and closed-end mutual funds, unit investment trusts, retirement products and investment platforms.
Investing Long Term? Don't Overlook the Inflation Factor - Inflation has been a very consistent fact of life in the U.S. economy. Dating back to 1945, the purchasing power of the dollar has declined in value every year but two - 1949 and 1954. Still, inflation rates were generally considered moderate until the 1970s. The average annual rate from 1900 to 1970 was approximately 2.5%. From 1970 to 1990, however, the average rate increased to around 6%, hitting a high of 13.3% in 1979.1 Recently, rates have been closer to the 2% to 4% range, although inflation fell to 0.09% in 2008.
Investment Advisor Search - A compilation of SEC registered investment advisors and their relevant information. View over 29,000 investment advisor firms sorted by name, by state and by assets under management.
InvestMove - Stock market information, quotes, analyst recommendations, top ten lists of related resources.
Investopedia - Includes the most comprehensive investing dictionary on the web as well as articles and tutorials on nearly any aspect of the market. From Forbes.
Also see Investopedia Tutorials.
Lark Research, Inc. - An independent investment research firm founded in 1991 by Stephen P. Percoco. The firm publishes two newsletters: Income Builder covers the equity and fixed income markets for individual investors. Net Realizable Value follows the residential real estate industry for institutional investors. In addition, the firm provides contract research services for institutional investors, broker-dealers and companies whose securities are publicly traded.
Latininvestor - Thousands of reports from brokers and consulting firms on Latin American economies, companies and industries.
Marijuana Index - A registered equity tracking index that monitors the performance, news, and general pulse of marijuana stocks.
Market News - Reports on major economies, monetary policy, currencies, bonds, derivatives.
MarketBeat - MarketBeat offers comprehensive coverage of analysts' upgrades, downgrades and news coverage. Whether you're looking for ratings, dividends, earnings, economic reports, insider trades, IPOs or stock splits, MarketBeat has the information needed to analyze any stock.
Document Research - Streamlines public company research by providing navigation tools for its global filings database. Users can choose to search by keyword with the help of multiple filters or use advanced multi-criteria queries to pinpoint content within a document. The pre-formulated searches in Knowledge Base jumpstart the search process for hot topics and industry-specific issues. Users can also save searches and automatically receive real-time filings alerts. Researchers can use this online resource to quickly search for information used in addressing SEC regulatory and GAAP reporting requirements, drafting legal agreements, due diligence, compensation benchmarking and competitive intelligence.
Market Fair Value - Market fair value by sector, industry, super-sector, index. See the historical, current, 52 week high/low, and all-time high/low market fair value and business quality/risk for super sectors: cyclical, defensive, and sensitive; sectors and industries: basic materials, consumer syclical, financial services, real estate, consumer defensive, healthcare, utilities, communication services, energy, industrials, technology; Indexes: S&P 500, Dow Jones Industrial Average, NASDAQ, and Russell 2000.
Premium Stock Screener - Search through Morningstar's stocks. Analysts have built some screens to help get you started.
Retirement Portfolio Week - Aims to help retired or near-retired investors address the concerns facing them today, with tips on survival tactics for a rising interest rate environment, finding the right asset allocation in retirement, balancing income and total return, optimizing withdrawal strategies, incorporating annuities into a portfolio, and maximizing Social Security benefits.
National Investor Relations Institute (NIRI) - A professional association of corporate officers and investor relations consultants responsible for communication among corporate management, the investing public and the financial community.
Newground Social Investment (NSI) - Provides socially conscious money management, financial coaching, and shareholder advocacy consultation to individual, institutional, and not-for-profit clients.
Norges Bank - The central bank of Norway. Apart from having traditional central bank responsibilities such as financial stability and price stability, it manages The Government Pension Fund of Norway, a stabilization fund that may be the world's largest sovereign wealth fund.
Open Secrets. org - Tracks money in politics, and its effect on elections and public policy. Conducts computer-based research on campaign finance issues for the news media, academics, activists, and the public at large.
Pecora Commission Hearings - Pecora Stock Exchange Practices. Hearings before the Committee on Banking and Currency Pursuant to S.Res. 84 and S.Res. 56 and S.Res. 97.: 1932-1934. This series of hearings, also known as the Pecora Commission hearings, was conducted by a subcommittee of the United States Senate Banking and Currency Committee between 1932 and 1934. The hearings investigated stock exchange practices and their effect on American commerce, the national banking system, and the government securities market. They also addressed issues of tax evasion and avoidance. The record of the hearings includes more than 12,000 printed pages with more than 1,000 exhibits received in evidence. The work of this committee set the stage for the Banking Act of 1933, the Securities Act of 1933, and the Securities Exchange Act of 1934. Also see Wikipedia article.
Ponzi Scheme - Wikipedia article: A Ponzi scheme is a fraudulent investment operation that involves promising or paying abnormally high returns ("profits") to investors out of the money paid in by subsequent investors, rather than from net revenues generated by any real business. It is named after Charles Ponzi.
Pooled Money Investment Account and Local Agency Investment Fund (PMIA-LAIF) in California - Through the Pooled Money Investment Account (PMIA), the State Treasurer invests taxpayers' money to manage the State's cash flow and strengthen the financial security of local governmental entities. PMIA policy sets as primary investment objectives safety, liquidity and yield. The Investment Division of the State Treasurer's Office manages the PMIA under statutory authority granted by California Government Code sections 16430 and 16480.4. The Local Agency Investment Fund (LAIF), is a voluntary program created by statute; began in 1977 as an investment alternative for California's local governments and special districts and it continues today under the Treasurer's administration. The enabling legislation for the LAIF is Section 16429.1 et seq. of the California Government Code. This program offers local agencies the opportunity to participate in a major portfolio, which invests hundreds of millions of dollars, using the investment expertise of the Treasurer's Office investment staff at no additional cost to the taxpayer. This in-house management team is comprised of civil servants who have each worked for the State Treasurer's Office for an average of 20 years.
Private Equity Firm - A private equity firm is an investment manager that makes investments in the private equity of operating companies through a variety of loosely affiliated investment strategies including leveraged buyout, venture capital, and growth capital. Often described as a financial sponsor, each firm will raise funds that will be invested in accordance with one or more specific investment strategies. Examples include:
Raging Bull - One of the companies leading the investor revolution by providing individual investors with access to the discussions and information previously reserved for investing professionals. Broad range of investor resources including more than 13,000 financial message boards, trading center, SEC filings, free real-time stock quotes, news and analysis.
Responsible Endowment Coalition - A diverse network of students, alumni and faculty from across the country dedicated to advancing socially and environmentally responsible investment in college and university endowments.
Securities Investor Protection Corporation (SIPC) - Provides investor protection in U.S. in the event a brokerage firm fails owing customers cash and securities. Besides protecting investors, SIPC also provides investor education, and ways to protect you from investment fraud. While a number of federal, self-regulatory and state securities agencies deal with cases of investment fraud, SIPC's focus is both different and narrow: Restoring funds to investors with assets in the hands of bankrupt and otherwise financially troubled brokerage firms.
Shareholder Rights Project - A clinical program at Harvard Law School that assists public pension funds and charitable organizations to improve corporate governance at publicly traded companies in which they are shareowners.
SocialFunds - Personal finance for social investors. Complete coverage of social mutual funds, community investment, shareowner action.
Solari, Inc. - Through Solari, Catherine Austin Fitts provides up-to-date commentary on news and issues impacting personal wealth, including financial and precious metals markets, geopolitical events and personal finance and health.
Tax Equivalent Yield (TEY) Formula - When evaluating taxable fund returns vs. tax-free fund returns, you have to compare the numbers on common ground. The tax-equivalent yield formula can help you decide if a tax-free money fund will give you a better yield than a taxable fund. The formula states the tax-free yield in terms of what you'd need to earn on a taxable fund to have the same return after taxes. The tax-equivalent yield will be higher for investors in the higher tax brackets. Tax-equivalent yield = Tax-free yield / (1 - your federal tax bracket). Also see TEY Calculator.
TheStockAdvisors - A digest-format guide for stock market, stock advisors, financial newsletters, China stocks, biotech stocks, gold stocks and oil stocks. This site enables individual investors to learn about the newsletter community, stock market, stock trades and stock ideas, and directly access those advisors about their services.
TheStreet - Market and stock reports, late-breaking financial news, investing basics, special reports.
thisMatter - In-depth articles on the fundamentals of consumer finance, investments and economics - supplemented with illustrations, charts, and examples, and formatted for quick comprehension.
U.S. Chief Financial Officers Council - The CFOC is an organization of the CFOs and Deputy CFOs of the largest Federal agencies, senior officials of the Office of Management and Budget and the Department of the Treasury who work collaboratively to improve financial management in the U.S. Government.
U.S. Department of the Treasury - The Treasury Department includes the Office of the Secretary and various departmental offices such as the Bureau of Engraving and Printing (BEP), the U.S. Mint, the Internal Revenue Service (IRS), the U.S. Customs Service, the Bureau of Alcohol, Tobacco, and Firearms (ATF), the U.S. Secret Service, the Financial Management Service (FMS), the Bureau of the Public Debt, the Office of the Comptroller of the Currency (OCC) and the Office of Thrift Supervision (OTS).
US SIF - U.S. membership association for professionals, firms, institutions and organizations engaged in socially responsible and sustainable investing. US SIF and its members advance investment practices that consider environmental, social and corporate governance criteria to generate long-term competitive financial returns and positive societal impact.
Value Line - Publishes more than a dozen print and electronic products utilized by more than half-a-million investors for timely information on stocks, mutual funds, special situations, options and convertibles. The company is best known for The Value Line Investment Survey, the most widely used independent investment service in the world.
Volatility Laboratory (NYU Stern School of Business) - The risk page of the Volatility Laboratory presents a variety of risk measures for top U.S Financial Firms. These measures are updated daily and reveal several dimensions of risk. Some measure the risks of individual firms and others are firm contributions to the risk of the financial system and the economy as a whole. Historical estimates of each of these risk measures can be plotted to see the changing performance of individual firms.
World Gold Council/World of Gold - Founded in 1987, the World Gold Council is an organisation formed and funded by the world's leading gold mining companies with the aim of stimulating and maximising the demand for, and holding of, gold by consumers, investors, industry, and the official sector.
Yahoo! Finance Company & Fund Index - Provides users with information on over 9,000 public companies, including contact information, business summaries, officer and employeee information, sector and industry classifications, business and earnings announcement summaries, financial statistics and ratios.
Zacks Investment Research - Zacks is a full service quantitative research firm offering a suite of products designed to provide analysts, corporate investors, brokers, and individual investors with the tools they need to optimize their equity decision-making processes.
10K Wizard Search Engine for SEC Filings - Provides free real-time online access and full-text search of the EDGAR system: a real-time link to the SEC's filings. 10K Wizard's market leading, proprietary search technology gives users the ability to view the latest SEC filings of more than 68,000 companies and to search historical filings from the start date of each company's existence by keywords, phrases and names.
EDGAR Database - The Electronic Data Gathering, Analysis, and Retrieval system performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the U.S. Securities and Exchange Commission (SEC). Also see EDGAR Search to search the full text of EDGAR filings from the last two years.
FreeEdgar - Search SEC filings for words or phrases with full text search. Free e-mail alerts of targeted company filings by creating a Watchlist. Instant download of financial data directly into Excel spreadsheets.
Investment Adviser Public Disclosure - Search for an investment adviser firm on this website and view that firm's Form ADV. Investment advisers file Form ADV to register with the SEC and/or the states. Form ADV contains information about an investment adviser and its business operations and disclosure about certain disciplinary events involving the adviser and its key personnel.
Securities Exchange Commission (SEC) - The primary mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors and maintain the integrity of the securities markets.
Searching With EDGAR Header Fields - Company filings are submitted with SGML headers, which are standard elements corresponding to EDGAR database index fields. These header elements provide important indexing information for retrieval of filings. The Historical EDGAR Archives Search allows the flexibility of searching for specific information in these headers to locate filings. Available fields are listed on this page.
SEC Center for Complaints and Enforcement Tips - The Division of Enforcement, a division of the U.S. Securities and Exchange Commission (SEC), is charged with enforcing the federal securities laws. The Division's responsibilities include investigating possible violations of federal securities laws and recommending appropriate remedies for consideration by the Commission. The Division also works closely with criminal authorities in matters of mutual interest.
SEC Final Rule Revisions on Auditor Independence - On 11/21/2000, the Commission released revisions of its auditor independence rules. The amendments modernize the Commission's rules for determining whether an auditor is independent in light of investments by auditors or their family members in audit clients, employment relationships between auditors or their family members and audit clients, and the scope of services provided by audit firms to their audit clients.
SEC Litigation - This page provides information on SEC enforcement actions, opinions issued by the Commission, briefs filed by SEC staff, trading suspensions, and notices concerning the creation of investors claims funds in specific cases.
SEC What's New - Provides daily information on recent Commission actions, including enforcement proceedings, rule filings, policy statements, and upcoming Commission meetings.
SEC Info - Securities information from the SEC EDGAR database: Search by Name, Industry, Business, SIC Code, Area Code,Topic, CIK, Accession Number, File Number, Date, ZIP.
Securities Lawyer's Deskbook - Contains the text of the basic federal securities laws and regulations, as well as links to the principal Securities and Exchange Commission forms under those laws and regulations. The Deskbook is designed primarily for use by legal practitioners and scholars, securities professionals, and corporate officers. It can also be used as a digital supplement in law school courses on the federal regulation of securities.
Stanford Law School: Securities Class Action Clearinghouse - Provides detailed information relating to the prosecution, defense, and settlement of federal class action securities fraud litigation. The Clearinghouse identifies over 1000 issuers that have been named in federal class action securities fraud lawsuits since passage of the Private Securities Litigation Reform Act of 1995.
Virtual Museum & Archive of SEC and Securities History - Preserves and shares SEC and securities history from the 1920s to the present. It includes a wide range of primary materials, including galleries, a timeline, papers, photos, oral histories and original programs broadcast from this site, which contribute to the understanding of how the SEC has shaped U.S. and international capital markets since its inception.
FINRA - The largest independent regulator for all securities firms doing business in the United States. Oversees nearly 4,540 brokerage firms, 163,675 branch offices and 631,725 registered securities representatives. Role is to protect investors by maintaining the fairness of the U.S. capital markets.
FusionIQ - A powerful quantitative tool that ranks stocks by a number of technical and fundamental measures. Similar tools to FusionIQ have been used on the trading desks of major Wall Street funds and large hedge funds for many years giving them a competitive advantage.
KWSnet is an Internet subject directory providing special attention to U.S. national and international news, the arts, computing, culture, environment, law, literature, media, politics, science and technology. Based in San Francisco, California, KWSnet contains over 125,000 annotated links to resources worldwide. Use Search KWSnet, located at the top of each page, to search within this site. Use Ctrl-F (Windows) or ⌘-F (Mac) to search within individual pages.
KWSnet's Zotero Library provides news articles as well as primary and secondary sources and bibliographic information for your research. More information on Zotero, a powerful, easy-to-use research tool, can be found at its site.
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KWSnet may be contacted via email with any comments, suggestions or link submissions. KWSnet is designed and maintained, in its entirety, by Kirk W. Smith.