Examlex
"Whenever I have a bad day at work,I come home and I just want to pig out!" Why?
Rule 10b-5
A regulation under the U.S. Securities Exchange Act of 1934 that prohibits fraud, misrepresentation, and insider trading in the securities market.
Conflict of Interest
A situation in which a person or entity has competing interests or loyalties that could potentially influence the objectivity of their decisions.
Securities Broker
A professional intermediary who facilitates the purchase and sale of securities on behalf of clients.
Rule 504
A provision of Regulation D of the U.S. Securities and Exchange Commission that allows companies to freely sell up to $5 million of securities in a 12-month period without extensive registration.
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