Glossary

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• Affinity Fraud
• Annuity
• Annuity Switching
• Assets Under Management (AUM)
• AWC
• Blue Sky Law
• Breakpoint
• Churning
• Class Action
• Common Stock
• Control Person
• Convertible Note
• CRD - Central Registration Depository
• Disgorgement
• Dodd-Frank
• Final Judgment
• Financial Industry Regulatory Authority
• FINRA
• FINRA Rule 8210
• Forgivable Promissory Note
• Form 10-K
• Form 10-Q
• Formal Order of Investigation
• Fund of Funds
• Hedge Fund
• IARD
• Insider trading
• Investment Adviser's Act of 1940
• Layering
• Market Maker
• Material Misrepresentation or Omission
• OTC Market
• Parking
• Penny Stock
• Permanent Injunction
• Ponzi Scheme
• Reg D
• Registration Statement
• Scienter
• SEC
• SEC Rule 10b-5
• Section 17(a) and Rule 17a-3 - Books and Records
• Securities Exchange Commission
• Securities Fraud
• SRO - Self Regulatory Authority
• Stock
• Suitability
• Temporary Restraining Order
• Unauthorized Trading
• Unit Investment Trust (UIT)
• Wells Notice
• What is a Penny Stock
• Willfully