Reading Pro Forma Financial Information

Pro forma financial information is a loose term that refers to any non-standard (non-GAAP) financial information.

Securities and Exchange Commission Complaint Procedures

Whenever a problem occurs with the investment account, investors should discuss the matter directly with their financial professional and if they fail to get a satisfactory resolution, they can lodge a complaint with the SEC.

Telecommunications Technology Securities’ Fraud Alert

Investors should be careful about investing in telecommunications technology ventures since the Securities and Exchange Commission has been receiving complaints recently.

Taking Note of Broker Discussions

When you talk to a broker about buying or selling a security take notes.

Determining Ownership Interest in a Security

Learn about the forms (Form 3, Form 4 and Form 5) you need to check to know if a person or an entity has significant ownership interest in a registered, non-exempt equity security of any class.

Executive Compensation Disclosure

When deciding to invest in a company, find out more about the company executive compensation structure and the components that make up such compensation.

What Is Day Trading?

Day trading is the practice of buying and selling securities, currencies and other financial instruments within the same trading day.

Margin Requirements for Pattern Day Traders

There are some rules that pattern day traders should abide by when day trading on margin.

How to Obtain Corporate Reports

Any investor should research and monitor the companies before investing. Find out as much as you can about a company by examining the company’s corporate reports and other significant releases.

Ex-Dividend Date and Record Date Explained

Knowing ex-dividend dates, record dates, declaration dates, and payable dates is an important component of crafting an investing strategy.

Convertible Securities’ Risks to Common Stock Holders

To estimate the risks before investing in the common stock of a company, first check whether the company is issuing convertible securities and find out whether such they are converted using a fixed-price or a market-price formula.

Convertible Securities Definition and Types

Convertible securities are securities that may be converted from bonds or preferred stocks to (usually) common stocks.

Closing Price Discrepancies

Closing prices are essential information and an important component of making investment decisions.

Cross-Market Trading Circuit Breakers

Circuit breakers are the markets or exchanges established, coordinated strategy for dealing with extraordinary market volatility, specifically extreme market price declines.

Choosing an Investment Professional

Always check the background, reputation, credibility, and track record of a firm or an individual investment professional before you deal with it or him.

Callable Bonds

Callable or redeemable bonds are bonds that are redeemable or callable by the bond issuer before they have matured.

A Guide to Investing in Bond Funds

Bond funds primarily invest in debt securities such as zero coupon bonds, mortgage backed securities, convertible bonds, corporate bonds, municipal bonds, or government bonds.

Demystifying and Analyzing Financial Statements

Financial statements are the backbone of investment decisions to be a good investor, you must understand and analyze a company’s financial statement.

Rebalancing Your Assets

Rebalancing is an asset maintenance procedure that involves assessing your investment time horizon, risk tolerance and financial need to determine whether your investment preferences have changed.

Diversification of Assets

Asset diversification is a risk management strategy, involving investing in a combination of assets of different types and levels of risks.

Tips for Variable Annuity Investors

Investing in a variable annuity may seem great but variable annuity investments are suited only to certain types of investors. Read on to learn if you fit the profile of a variable annuity investor.

The Costs of Variable Annuities

Variable annuities are notorious for their expense. Before taking out a variable annuity, be sure to understand all of the actual and potential charges the annuity provider charges.

Characteristics of Variable Annuity Products

Variable annuities are just one of the two main types of annuities. This article discusses the characteristics of annuities.

Variable Annuity Contracts Explained

Variable annuities are annuity products that you may purchase from insurance companies. Learn about these investment vehicles.

Investors Beware of Government Impersonators

Investors need to beware of a type of investment scam that involves impersonators of government officials.