SEC FORM N-8B-4
SEC Form N-8B-4 is also referred to as the Registration Statement of Face-Amount Certificate Companies. This means that SEC Form N-8B-4 is a filing to be filed by every face-amount certificate companies under the Securities and Exchange Commission. The data gathered under SEC Form N-8B-4 include voting trusts, investment concentrations, the structure of the registrants, control, security investments, real estate purchases and sales, loaning money, commodity purchases and sales, turnover portfolios, face amount certificates, borrowed money, etc.
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Trade or Fade Rule
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Cancellation
Notification by a broker advising his or her client that an incorrect exchange deal was conducted and that the activity is being pointed out. For e ...
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UFMI
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