Non-Marginable Securities
What are Non-Marginable Securities? Non-marginable securities cannot be purchased on margin at a particular investment brokerage or financial institution. If purchasing the securities, investors must fund their full order with cash. Financial institutions will almost always maintain an internal list of non-marginable securities, which retail investors can find online or by contacting their broker. The...
Non-Marketable Security
What is a Non-Marketable Security? Non-marketable security refers to a security that is not traded on any major securities exchange. As a result, it is difficult to buy and sell such securities. Non-marketable securities are mainly traded as part of a private transaction. Attributes of a Non-Marketable Security 1. Highly Illiquid One of the most...
SEC Form S-1
What is SEC Form S-1? SEC Form S-1 is a filing needed to register the securities of companies that wish to go public with the U.S. Securities and Exchange Commission (SEC). It is required under the Securities Act of 1933 and is also known as the Registration Statement Under the Securities Act of 1933. SEC...
Hamptons Effect
What is the Hamptons Effect? The Hamptons Effect refers to a decline in trading volume right before Labor Day weekend and an increase in volume right after the weekend. The concept was first established because many investors on Wall Street leave on vacation for the Labor Day weekend and cease all trading activity. The Labor...
Healthcare Sector
What is the Healthcare Sector? The healthcare sector is one of 11 S&P sectors or GICS (Global Industry Classification Standard) used by the financial community. It is consistently in the top three most weighted sectors of the S&P 500 Index. The sector encompasses a wide range of businesses that pertain to the creation and provision...
