Officers

directors' and officers' liability insurance investment & finance definition ...

Named Executive Officers
A company's chief executive officer and four most highly compensated executive officers (other than the chief executive officer) who were serving as executive officers at the end of the last completed fiscal year.

Officers of a corporation are its executive managers - the CEO, the CFO, the COO, etc. They are the people who hire and fire other managers, and these lower managers typically manage the day-to-day operations of a business.

Officers:
President and CEO: Michael W. Kramer
VP and CIO: Michael M. Saunders
Senior Manager Corporate Communications: Erin Haggerty ...

Corporate officers, directors, and employees who traded the corporation's securities after learning of significant, confidential corporate developments; ...

Insiders: Officers, directors and anyone else owning more than 10% of stock outstanding.
Insider Ownership: number of shares owned or controlled by insiders.

DIRECTORS'/OFFICERS' QUESTIONNAIRES. Questionnaires circulated by the company's and underwriter's counsel during the registration process. The questionnaires gather and confirm various data that must be disclosed in the registration statement.

For current officers and shareholders in a company, the cash ratio is an excellent indicator of the financial stability of the business.

Trading by officers, directors, major stockholders, or others who Hold private inside information allowing them to benefit from buying or selling stock.

Related Links: ...

[EPA] adverse domination A legal doctrine advanced by the FDIC and the RTC in professional liability suits against the officers and directors of a failed institution.

BD form A document which every brokerage must file with the SEC, detailing the firm's finances and listing its officers. BDT The ISO currency code for the Bangladesh Taka.

The directors appoint the president, vice presidents and all other operating officers. Directors are ultimately responsible for the investments made.

Copies of licenses are commonly requested by mortgage brokers and loan officers.

Peers, judges, and bishops thronged to the Hotel de Soissons; officers of the army and navy, ladies of title and fashion, and every one to whom hereditary rank or public employ gave a claim to precedence, ...

To the fullest extent permitted by law, neither the Company nor any of its affiliates, officers, employees, subsidiaries or agents shall be liable for any damages of any kind, including without limitation, direct or indirect, special, incidental, ...

In December 2008, Sinaloa members kidnapped, tortured, and decapitated eight off-duty police officers, including a commander. Two months later, cartel members led a prison riot that left twenty people dead.

In the United States and several other jurisdictions, trading conducted by corporate officers, key employees, directors, ...

A UIT does not have a board of directors, corporate officers, or an investment adviser to render advice during the life of the trust.

In no event will Online Stock Trading Guide, LLC or its members, officers, owners, employees, agents, associates and the assigns of same, be liable for (1) any incidental, consequential or indirect damages, claims, liabilities or costs, ...

It should be noted that in some companies, key officers and board members are required to participate in stock purchase plans, which force the insiders to purchase shares at certain times.

The number of shares purchased by corporate officers and directors minus sales by these folks for the latest month reported to the Securities and Exchange Commission. There is usually a three-month lag in reporting insider trades.

Dual-class Ownership - a dual-class ownership is where investors share equity with company officers who primarily have more authority then the investors. This usually occurs when a company, which is private, starts to trade on the public market.

Use a search engine, such as Google, to look up the broker's name, address, executive officers, membership organizations and the like. Also, try searching 'Broker's Name + reviews.

A chief executive officer (CEO) or chief executive is the highest-ranking corporate officers or executives or administrators who play the most important role in the management of an organization.

Officers. The shear amount of management is important, but what is more important is the history of each
figure. Try doing a search in the SEC database for each member of management, and you may be
surprised at what you find.

It hires the officers (the president and other major officers of the company), makes the company's decisions and sets the company's policies.

Insider Trading: This refers to the act of trading in the shares of an business by its directors and officers. Such acts are required to be disclosed before they happen. Otherwise, they are deemed illegal.

Before these companies officers run off with all the generated cash in salaries and bonuses set by board members who are current and former officers of other corporations, ...

SMi Utility events are attended by Future Network Directors, TNO Directors, DNO Directors, Metering Directors, Head of Smart Grids, Chief Technology Officers, Chief Security, Director of Innovation and Strategy, Leading Architecture, ...

IN NO EVENT WILL THE WEB SITE OR ITS MEMBERS, MANAGERS, OFFICERS, EMPLOYEES, AGENTS AND THE ASSIGNS OF SAME BE LIABLE FOR (1) ANY INCIDENTAL, CONSEQUENTIAL OR INDIRECT DAMAGES (INCLUDING, BUT NOT LIMITED TO, DAMAGES FOR LOSS OF PROFITS, ...

Officers and directors of companies, owners of restricted stock, and owners of more than 10% of a company's stock are legally required to let the SEC, and thereby the public, know when they sell, or intend to sell their stock.

They are corporate officers and, as such they not only have a legal responsibility but a moral one as well.

In one respect, it refers to the legal trading of securities by corporate officers based on information available to the public.

GOVERNMENT FINANCE OFFICERS ASSOCIATION (GFOA) - An organization of state and local government finance officers formed to improve professional standards of government fiscal and debt administration.

Securities Exchange Commission (SEC) provides clear direction on the roles within a company that are flagged as individuals that have access to non-public information, which could affect the price of the stock. Some of these key roles are officers, ...

Insiders These are directors and senior officers of a corporation -- in effect those who have access to inside information about a company. An insider also is a shareholder who owns more than 10 percent of the voting shares of a company.

Directors and senior officers of a corporation; those who have access to inside information about a company; someone who owns more than 10% of the ...
Interest Rate ...

Outstanding shares include stock owned by the public as well as restricted shares owned by the company's officers and employees.

of members from eight sponsoring associations: the American Accounting Association; American Institute of Certified Public Accountants; Association for Investment Management and Research; Financial Executives Institute; Government Finance Officers ...

3. In personal finance, it is a ratio used by bank loan officers in determining income property loans. This ratio should ideally be over 1. That would mean the property is generating enough income to pay its debt obligations.

Insiders The board of directors and officers of a company. It can also be someone who has a large voting share in the company. These insiders are said to possess "insider information.

3) The company’s officers fail at managing the business well, they spend too much money, and their expenses are larger than their profits.

Insider
All directors and senior officers of a company, and those who are presumed to have access to inside information concerning the company. An insider is also anyone owning more than 10% of the voting shares of a company.

A detailed document for a new security issue explaining the terms, issuer, officers, public accounting firms, legal opinion, and core business. Required by the Securities Act of 1933 to be made available to any client who purchases the issues.

Insider: Anyone in a position to influence the decisions of a corporation. Insiders include officers, directors, principal stockholders, and their respective immediate families.

Inside Information - Information about a company that is not known to the investing public and is only known to "insiders," such as officers, directors, or major shareholders of a particular firm.

The total number of shares held by the public plus any restricted shares held by officers and insiders at a company. If a company repurchases a portion of its shares, these are not considered outstanding.
Sharpe Ratio ...

Defined as total shares outstanding less any shares held by officers, directors or beneficial owners of 10% or more. Also called publicly held shares.
H
Held ...

Non-public knowledge about a company possessed by its officers, major owners, or other individuals with privileged access to information.
Insider Trading ...

Insider trading: In one respect, it refers to the legal trading of securities by corporate officers based on information available to the public.

Blanket fidelity bond: Insurance brokerage firms are required to carry to protect customers from the dishonesty or carelessness of brokerage employees and officers. Covers loss of money or securities, forgery, and fraudulent trading.

The insider trading definition that follows references individuals required to report insider trading activities. Corporate insiders are defined as company officers and directors, ...

The most recent insider transactions, as reported to the SEC, are summarized here. Insiders include major corporate officers, members of the board of directors, and owners of 10% or more of any equity class of securities.

In some cases, including many hedge funds, a strategy will be spelled out, at least in part, by a contract, and compliance officers will review all trading to make sure it matches the strategy.

Prospectus - A document that explains the terms of a new security offering - the officers, the outside public accounting firms, the legal opinion, and so on. Must be given to any customer who purchases new corporate and certain muni issues.

Following insider trading reports involves researching major insider trading transactions. Insiders are directors and officers of a company and also stockholders who own more than 10% of equity in a company.

Shares Outstanding
The number of shares issued for trade in the open market. This figure includes restricted shares held by corporate officers and insiders but does not include shares repurchased by the company. more...

Director - Person elected by shareholders to serve on the board of directors. The directors appoint the president, vice presidents, and all other operating officers. Directors decide, among other matters, if and when dividends shall be paid.

The most recent annual report - read the report from the Chairman, CEO, and sometimes CFO or other high-ranking officers to see how they view the business. Not all annual reports are created equally.

Person elected by shareholders, usually during an annual meeting, to serve on the Board of Directors of a corporation. The directors appoint the president, vice president and all other operating officers.

See also: Stock, Share, Investment, Market, Report