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Behavior is more likely to reoccur if
Material Omission
The failure to disclose important information intentionally or unintentionally, which if known, could influence the decision-making of a party relying on the information.
Securities Transaction
The process of buying, selling, or trading securities, such as stocks or bonds, in financial markets.
Registration Statement
A set of documents, including a prospectus, filed with the Securities and Exchange Commission for a company intending to issue new securities to the public.
Waiting Period
A designated time span that must pass before the coverage of an insurance policy begins or before a specific action is permitted.
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