Articles Posted in Investment Terms and Concepts

Active Brokerage Account: The purpose of this post is to provide the reader with a general description of the phrase “active brokerage account.” Please keep in mind that this information is being provided for educational purposes only and is not designed to be complete in all material respects. Thus, this information should not be relied…

Transfer Agents Most investors have heard of the phrase “transfer agent” but what is a transfer agent. This post is designed to provide the reader with a general description of what a transfer agent is and the functions that it performs. Please keep in mind that this information is being provided for educational purposes only…

Direct Registration – Securities Ownership: This post is designed to provide the reader with a general description of securities ownership through direct registration. Please keep in mind that this information is being provided for educational purposes only and is not designed to be complete in all material respects. Thus, this post should not be relied…

Street Name Registration – Securities Ownership: This post is designed to provide the reader with a general description of securities ownership through street name registration. Please keep in mind that this information is being provided for educational purposes only and is not designed to be complete in all material respects. Thus, this post should not…

Physical Certificate – Securities Ownership: This post is designed to provide the reader with a general description of securities ownership through the ownership of a physical certificate. Please keep in mind that this information is being provided for educational purposes only and is not designed to be complete in all material respects. Thus, this post…

Securities Registration. What are the alternatives available to investors to register securities ownership. This post is designed to provide the reader with a general description of the ways that an investor can register their securities ownership. Please keep in mind that this information is being provided for educational purposes only and is not designed to…

Invest Internationally – How to do it. There are a number of ways individual investors may gain exposure to international investments. As with domestic investments, investors should first learn as much as they can about an investment. The purpose of this post is to provide the reader with general discussion of this topic. This information…

SEC v. Phillip W. Offill, Jr., et al., Civil Action No. 07-CV-1643-D (N.D. Tex. filed Sept. 26, 2007) August, 2012: SHANE A. MULLHOLAND AND DISSEMINATION SERVICES LLC ENJOINED AND BARRED FROM PENNY STOCK OFFERINGS The United States Securities and Exchange Commission (Commission) recently announced that on July 30, 2012, the Honorable Sidney A. Fitzwater of…

What are the risks of investing in municipal bonds? As with any investment, investors who buy municipal bonds face a number of risks. The purpose of this post is to provide a general discussion of some of these risks. The post is being provided for educational purposes only and is not designed to be complete…

What are municipal bonds? If you are a novice investor, you may have various questions concerning what are municipal bonds. The pupose of this post is to provide general information relative to answering this question. It is being provided for educational purposes only. Thus, is it not designed to be complete in all material respects.…