SEC FORM U-1
SEC Form U-1 is also referred to as the Uniform Application to Register Securities under the Securities and Exchange Commission. This means that SEC Form U-1 is an application or declaration by a SEC registered company of an issue, security sales, and asset sales. SEC Form U-1 is now obsolete.
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Hard-to-Borrow List
A list that outlines the securities a brokerage can’t provide to investors for short selling.
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