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U.S. Securities and Exchange Commission
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Introduction to Investing
Save and Invest
How Stock Markets Work
What is Risk?
Role of the SEC
Federal Government Plans
Self-directed Plans - Individual Retirement Accounts (IRAs)
Managing Lifetime Income
Senior Specialist Designations
Avoiding Retirement Fraud
Research Before You Invest
Free Investment Professional Background Check
Five Questions to Ask Before You Invest
Assessing Your Risk Tolerance
Methods of Investing
Investing on Your Own
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Protect Your Investments
Types of Fraud
How to Avoid Fraud
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Submit Questions and Complaints
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Large Cap, Mid Cap, Small Cap
Terms used to describe a company’s size and market value ( market capitalization ).
Late Payment of Interest on Bonds
nvestors sometimes complain to the SEC staff about late payments of interest owed to them on their bonds . The SEC, however, does not generally regulate this issue. Instead, the process for paying...
An amount owed to a person or organization for borrowed funds. Loans, notes, bonds, and mortgages are forms of debt. These different forms all call for borrowers to pay back the amount they owe,...
A diversified mutual fund that automatically shifts towards a more conservative mix of investments as it approaches a particular year in the future, known as its "target date." A lifecycle fund...
A limit order is an order to buy or sell a security at a specific price. A buy limit order can only be executed at the limit price or lower, and a sell limit order can only be executed at the limit...
Liquidity (or Marketability)
A measure of the relative ease and speed with which a security can be bought or sold in a secondary market.
The amount that investors pay when they buy (front-end load) or redeem (back-end load) shares in a mutual fund, similar to a commission. The SEC's rules do not limit sales loads a fund may charge,...
London Interbank Offered Rate (LIBOR)
The interest rates banks charge each other for short-term loans. LIBOR is frequently used as the base for resetting rates on floating-rate securities.
Lost and Stolen Securities Program
Congress directed the establishment of the Lost and Stolen Securities Program (LSSP) to curtail trafficking in lost, stolen, missing, and counterfeit securities certificates. Rule 17f-1 under the...
Lost or Stolen Stock Certificates
Brokerage firms, banks, transfer agents and corporations have procedures in place to help investors replace lost or stolen certificates. If your securities certificate is lost, accidentally destroyed...
Lump Sum Payment
A payment of a sum of money at one time, such as an inheritance.