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Rule 13d
An SEC rule requiring Disclosure by anyone acquiring a beneficial ownership of 5% or more of any equity security registered with the SEC. If the company is Listed on an Exchange , the form must be filed with the Exchange , too.
Related Terms: 11
Beneficial owner , CLO , Disclosure , Exchange , ECU , Listed , Own , Register , Ring , SEC , UIT
Semi Related Terms: 469 CLICK HERE TO VIEW
10-Q ,
1035 exchange ,
30-day wash rule ,
Allowance for depreciation ,
Asset/equity ratio ,
Approved list ,
Accrual of discount ,
Agency security ,
American Stock Exchange ,
Amortization of premium ,
Asset-backed security ,
All or any part ,
Average equity ,
Add-on service ,
Abstract of title ,
Action to quiet title ,
As is ,
Assignment to creditors ,
Attorney in fact ,
Assignment of mortgage ,
A shares ,
At the money ,
Across the board ,
Additional paid-in capital ,
Against the box ,
At the bell ,
At the close ,
At the figure ,
At the full ,
At the market ,
At the opening order ,
Away from the market ,
Below the line ,
Books of final entry ,
Books of original entry ,
Bank holding company ,
Banking Act of 1933 ,
Bid-to-cover ratio ,
Blue List ,
Book-entry security ,
Bureau of Public Debt ,
Brought over the wall ,
Buying on margin ,
Buy on close ,
Buy on opening ,
Buy the book ,
Balance of payments ,
Board of Governors ,
Beneficial owner ,
Breaking the syndicate ,
Bill of exchange ,
Bill of sale ,
Breach of trust ,
By the book ,
B shares ,
Breadth-of-market theory ,
Beat the gun ,
Cost Of Goods Sold ,
Cost of sales ,
Checkbook register ,
Cabinet security ,
Certificate of Participation ,
CLO ,
Committee on Uniform Securities Identification Procedures ,
Convertible security ,
Code of procedure ,
Customer protection rule ,
Chicago Mercantile Exchange ,
Capitalization of income ,
Cost of Living Adjustment ,
Cost-of-living index ,
Council of Economic Advisers ,
Chasing the market ,
Cheapest to deliver ,
Chicago Board of Trade ,
Commodities Exchange Act ,
Commodities Exchange Center ,
Commodity Exchange ,
Cost-of-living rider ,
Certificate of stock ,
Chicago Board Options Exchange ,
Cost of carry ,
Certificate of title ,
Contract for deed ,
Cancellation of debt ,
Certificate of Claim ,
Cost of debt capital ,
Cost of funds ,
Controlled company ,
Closed-end investment company ,
C shares ,
Class of options ,
Close to the money ,
Certificate of Occupancy ,
Cloud on title ,
Cash or Deferred Arrangement ,
Class A Shares ,
Class B Shares ,
Crash of 1929 ,
Crash of 1987 ,
Coefficient of determination ,
Certificate of delivery ,
Close a position ,
Cornering the market ,
Curbs in ,
Deposit in transit ,
Date of issue ,
Date of payment ,
Debt-equity swap ,
Digested security ,
Droplock security ,
Division of Enforcement ,
Division of Investment Management ,
Division of Market Regulation ,
Date of record ,
Dividend in arrears ,
Desk (the) ,
Division of labor ,
Derivative security ,
Disclosure ,
Durable Power of Attorney ,
Date of maturity ,
Debtor in possession ,
Debtor-in-possession financing ,
Deed of Release ,
Deed of Trust ,
Discharge of bankruptcy ,
Discharge of lien ,
Due-on-sale clause ,
Deep in the money ,
Deep out of the money ,
Deed of Surrender ,
Department of Housing and Urban Development ,
Distressed security ,
Dogs of the Dow ,
Depth of market ,
Eurodollar certificate of deposit ,
Equity-linked note ,
Equity risk premium ,
Escrowed to maturity ,
Exchange ,
Exchangeable security ,
Exempt security ,
Ex-legal ,
Either-or order ,
Eligible list ,
Exchange seat ,
ECU ,
Exchange rate ,
E-mini ,
Exchange against actuals ,
Exchange for futures ,
Exchange for physical ,
Exchange of spot ,
Exchange versus cash ,
Ex-pit transaction ,
Equity funding ,
Equity option ,
Ex-all ,
Exchange ratio ,
Equitable owner ,
Equity kicker ,
Equity mortgage ,
Equity fund ,
Exchange fund ,
Exchange privilege ,
Exchange-traded option ,
Ex-warrants ,
Equity REIT ,
Employee Retirement Income Security Act of 1974 ,
Equity capital ,
Equity financing ,
Equity swap ,
Ex-rights ,
Ex-rights date ,
Exchange distribution ,
First In First Out ,
Form 10-Q ,
Flight to quality ,
Flow of funds ,
Fill or kill ,
Front-ending an order ,
Floating exchange rate ,
Foreign exchange ,
Foreign exchange rate ,
Forward exchange rate ,
Forward P/E ,
Factors of production ,
Favorable balance of trade ,
Fee-for-service ,
Form 8-K ,
Form S-1 ,
Full disclosure ,
Floating security ,
Finance company ,
Family of funds ,
Fund of funds ,
Free right of exchange ,
Graduated security ,
G-7 ,
General Agreement on Tariffs and Trade ,
G-8 ,
Growing equity mortgage ,
Gather in the stops ,
Hart-Scott-Rodino Act of 1976 ,
Hit the bid ,
House of issue ,
Hang Seng Index ,
Holding company ,
Holder in due course ,
Hang out loan ,
Home equity ,
Home Equity Conversion Mortgage ,
Home equity debt ,
Home equity line of credit ,
Home equity loan ,
Home Mortgage Disclosure Act ,
Hammering the market ,
Held at the opening ,
Holding the market ,
In escrow ,
Inflation-indexed security ,
Investment security ,
In-house ,
Investment Advisor Act of 1940 ,
Investment Company Act of 1940 ,
In line ,
Insider Trading sanctions Act of 1984 ,
Internal Rate of Return ,
Indication of interest ,
In intestacy ,
In play ,
In-process research and development ,
Investment company ,
I/O strip ,
In-service withdrawal ,
Income exclusion rule ,
Imbalance of orders ,
In and out ,
In sympathy ,
In the tank ,
Jumping the gun ,
Joint ownership ,
Joint Stock Company ,
Junior equity ,
Last In First Out ,
Legal list ,
Lender of last resort ,
Law of one price ,
Letter security ,
Listed ,
Lending at a rate ,
Limit-on-close order ,
Law of demand ,
Law of supply ,
London International Financial Futures and Options Exchange ,
Limited company ,
Long-Term Equity Anticipation Securities ,
Letter of comment ,
Line of credit ,
Loan-to-cost ,
Loan-to-value ,
Lock-in ,
Listed option ,
Leading the market ,
Like-kind exchange ,
Limited Liability Company ,
Locked in ,
Long-term gain or loss ,
Level I quotes ,
Mutual company ,
Marketable security ,
Mortgage-backed security ,
Mortgage pass-through security ,
Make a market ,
Market if touched order ,
Market on close order ,
Mark-to-market ,
Medium of exchange ,
Marginal propensity to consume ,
Management company ,
Negotiable certificate of deposit ,
Negotiable Order of Withdrawal ,
Negotiable security ,
New York Stock Exchange ,
Nine-Bond Rule ,
Notice of Sale ,
National Association of Securities Dealers ,
National Association of Securities Dealers Automated Quotations system ,
New York Futures Exchange ,
Non-equity option ,
Non-disclosure agreement ,
Negative equity ,
Notice of Default ,
National Association of Real Estate Investment Trusts ,
Net change ,
Off the books ,
One time charge ,
Office of Thrift Supervision ,
Out-of-favor ,
Over-the-Counter ,
On-floor order ,
On margin ,
Or better ,
Offshore company ,
One-share one-vote rule ,
Opinion of title ,
On account ,
On-the-spot loan ,
Owner financing ,
Open-end management company ,
Out of the money ,
Own ,
On-balance volume ,
On close ,
One man picture ,
On open ,
On the opening ,
Open trade equity ,
Option exchange ,
Owner-employee ,
Pooling of interests ,
Payment-in-kind security ,
Price Value of a Basis Point ,
Payment for order flow ,
P&L ,
Provision for income taxes ,
Public company ,
Power of Attorney ,
Prioritization of debt ,
Paid-in capital ,
Paid-in surplus ,
Percent held by institutions ,
Private company ,
Private Investment in Public Equity ,
Public equity ,
Public ownership ,
Preservation of capital ,
Painting the tape ,
Plus tick rule ,
Primary exchange ,
Private equity ,
Register ,
Return of capital ,
Return on Capital ,
Return on Invested Capital ,
Return on Total Assets ,
Regulation Q ,
Registered coupon bond ,
Registered security ,
Residual security ,
Restricted security ,
Reading the tape ,
Registered Representative ,
Regulation D ,
Regulation G ,
Regulation T ,
Regulation U ,
Round of funding ,
Rule 10b-6 ,
Rule 15c3-1 ,
Rule 19c3 ,
Rule 405 ,
Rule 415 ,
Rules of Fair Practice ,
Rate of exchange ,
Reciprocal of European terms ,
Regulated investment company ,
Registered Retirement Savings Plan ,
Red herring ,
Registered Company ,
Regulation A ,
Right of first refusal ,
Right of rescission ,
Right to Know ,
Revolving line of credit ,
Right of recourse ,
Rule of 78 ,
Registered options principal ,
Right of redemption ,
Retirement Equity Act of 1984 ,
Return on Capital Employed ,
Rate of return ,
Real rate of return ,
Regional exchange ,
Ring ,
Rule 13d ,
SEC filing ,
SG&A ,
Sight letter of credit ,
S&L ,
SEC ,
Securities and Exchange Commission ,
Stamped security ,
SEC fee ,
Segregation of securities ,
Selective disclosure ,
Sell the book ,
Standard of living ,
Second-to-die insurance ,
Stock life insurance company ,
Stock exchange ,
Statute of Limitations ,
Satisfaction of debt ,
Security interest ,
Security loan ,
Senior security ,
Staggered board of directors ,
Selling the spread ,
Savings Incentive Match Plan for Employees ,
Social Security ,
Social Security Tax ,
Stock list ,
Security analysis ,
Selling short against the box ,
Shorting against the box ,
Short sale rule ,
S Corporation ,
Short-term gain or loss ,
Subchapter M ,
Subchapter S Corporation ,
Schedule C ,
Securities Act of 1933 ,
Securities Acts Amendments of 1975 ,
Securities Exchange Act of 1934 ,
Seek a market ,
S&P phenomenon ,
T-Bill ,
Term to maturity ,
Treasury Inflation-Protected Security ,
Trust-preferred security ,
Take a position ,
Trailing P/E ,
Tenancy by the entirety ,
Trust company ,
TED spread ,
Truth in Lending ,
Title company ,
The Street ,
Timing the market ,
Taxpayer Relief Act of 1997 ,
Tax Reform Act of 1986 ,
Tax Reform Act of 1993 ,
Take a bath ,
U.S. Government Agency Security ,
U.S. Savings Bond ,
U.S. Treasury ,
U.S. Treasury Bill ,
U.S. Treasury Bond ,
U.S. Treasury Note ,
U.S. Treasury Securities ,
Underlying security ,
UIT ,
Unit of trade ,
Unit of trading ,
Watch list ,
With interest ,
Waiver of premium ,
W-2 Form ,
Wash sale rule ,
W formation ,
When, as, and if issued ,
Wilshire 5000 Equity Index ,
X or XD ,
Year-To-Date ,
Yield to call ,
Yield to maturity ,
Yield to worst ,
Y shares