Category: Securities & Financial
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The NASD: National Association of Securities Dealers
The NASD was an important SRO that paved the path for the current securities regulator & SRO, FINRA . . .
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FINRA
FINRA replaced the NASD around July 30th, 2007. Learn more about FINRA within this article . . . .
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Bonds: The Basics
This article highlights important basics of Bonds as a type of debt security.
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Commercial Paper
Commercial Paper & Asset Backed Commercial Paper are short-term debt securities that may be exempt from SEC-registration.
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An Overview of Investment Companies
Isaiah 43:18-21 (ESV): “Remember not the former things, nor consider the things of old. Behold, I am doing a new thing; now it springs forth, do you not perceive it? I will make a way in the wilderness and rivers in the desert. The wild beasts will honor me, the jackals and the ostriches, for…
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Investment Company Act of 1940
The Investment Company Act of 1940 aims to ….