In securities, an exempt offering is an offering for which the issuer does not need to file a registration statement.
See private placement.
[Last updated in February of 2022 by the Wex Definitions Team]...
securities
factor's lien
Factor’s lien is a type of security interest in property that allows agents and sometimes other parties to have their rights secured in property of a principal. This allows factors to recover owed fees and expenses from the secured property...
financial institution
A financial Institution is defined in 18 U.S. Code § 20 as an entity, national or international, that deals primarily in business related to financial or/and monetary transactions, namely loans, deposits, investments, currency exchange, or...
follow-on offering
Follow-on offerings are any public offerings conducted after a company has gone public through an initial public offering (IPO). Also sometimes referred to as “follow-on public offer” or “FPO.”
Companies generally conduct...
Foreign Corrupt Practices Act (FCPA)
Foreign Corrupt Practices Act (FCPA) is the primary piece of legislation in the U.S. that illegalizes the bribing of foreign officials by U.S. citizens and employees of U.S. listed companies. The FCPA consists of two main provisions; one...
foreign direct investment
The International Monetary Fund (“IMF”) defines foreign direct investment (“FDI”) as a “cross-border investment” in which an investor that is “resident in one economy [has] control or a significant degree of influence on the management of an...
Form 10-K
Form 10-K is a Securities and Exchange Commission (SEC) periodic report that public companies file to disclose the material results of their business operation for their past fiscal year.
The Form 10-K provides a...
Form 10-Q
Form 10-Q is a Securities and Exchange Commission (SEC) periodic report that public companies file to disclose the results of their business operation for their past fiscal quarter.
The disclosures in a 10-Q are similar to...
Form 8-K
Form 8-K is a Securities and Exchange Commission (SEC) periodic report that public companies file to disclose material changes. Unlike Form 10-K and Form 10-Q, which are filed annually and quarterly, respectively, a public company files a...
Form S-1
Form S-1 is the registration statement that the Securities and Exchange Commission (SEC) requires domestic issuers to file in order to publicly offer new securities. That is, issuers file S-1s for initial public offerings (IPOs) and follow-on...