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United States Securities Exchange Commission - Regulatory Agency

2
votes
1answer
280 views

Why are there no exchange traded options on 3x leveraged ETNs

Since these would help me manage risk in my personal financial portfolio, why are there no exchange traded options on 3x leveraged ETNs? Is there a prohibition that the SEC is perpetuating? Is there ...
1
vote
1answer
41 views

SEC institutional pre-IPO disclosure

All funds/managers with assets above 100M need to file their holdings with the SEC in the form of a 13F. like this one for example : https://sec.report/Document/0001567619-19-011051 There is a column ...
1
vote
1answer
40 views

Why is 8K Q4 income statement metrics be different from the difference between 10-K and the Q1-Q3 metrics?

For SEC filings, why would 8K income statement metrics be different from the 10-K metrics? Ie. share count reported in the 8K quarter 4 report is different from share count in 10-K Why can't you ...
1
vote
1answer
73 views

American Airlines 10-K outstanding shares

The opening paragraphs of American Airlines 2017 10-K states: there were 473,138,683 shares of American Airlines Group Inc. common stock outstanding there were 1,000 shares of American ...
-1
votes
1answer
165 views

Swing Trading Roth IRA & SEC's Reg T+2 amendment?

Few resources state that swing trading Roth IRA account would be difficult due to SEC's Reg T+3 which per SEC Website is now Reg T+2 effective Sept. 5, 2017. Even prior to SEC's amendment, my ...
2
votes
0answers
66 views

What happens if stock election to approve accounting firm fails?

Every year I get prospectus for several different stocks with voting instructions for board members and a few other things. Evey single one has "Shall XXX be approved as the accounting firm?" What ...
1
vote
0answers
24 views

Does the SEC (or any governing body) limit Rights Offerings?

Could AAPL offer all shareholders a non-transferable right to purchase two shares at a 20% discount (from today's price, exercisable for one month) for each share they own? This announcement will (...
1
vote
0answers
39 views

For spin-off situations, where can I find information on insider participation?

I'm going through the Form 10-12B for the 2015 HP/HPE spin-off. I'm wondering where on the form I would find information on insider participation, for example I'd like to answer the following ...
0
votes
0answers
34 views

If I have stock that is unregistered at the time of a company buyout does my stock automatically register?

I was a contractor for a small public company for which I received stock compensation. There is a fee to register the stock so I am waiting to see if the stock ends up being worth anything before ...