The theory that a large short interest is the predecessor of a rise in the price of a stock. Taobiz explains Short Interest Theory The reasoning behind this is that the short positions must eventually be covered, which means that there will be more purchasers of the stock who in turn drive the price up.
A short sale order in which the uptick rule doesn't apply to the trade. The trade can go through on a down tick, or a downward move in price, where a traditional short order trade has to be done on an uptick, or upward move in price. Taobiz explains Short Exempt Any order that goes through needs to be marked long, short or short exempt, with short and short exempt being marked with SSH and SSE, respectively. The uptick rule is in place to prevent short sellers from unduly putting downward pressure on a stock with heavy selling volume.
A Securities & Exchange Commission regulation that requires company insiders to return any profits made from the purchase and sale of company stock if both transactions occur within a six-month period. A company insider, as determined by the rule, is any officer, director or holder of more than 10% of the company’s shares. Taobiz explains Short-Swing Profit Rule The rule was implemented to prevent insiders, who have greater access to material company information, from taking advantage of information for the purpose of making short-term profits. For example, if an officer buys 100 shares at $5 in January and sells these same shares in February for $6, he/she would have made a profit of $100. Because the shares were bought and sold within a six-month period, the officer would have to return the $100 to the company under the short-swing profit rule.
A computer network that automatically executes trades in Nasdaq market securities and some Nasdaq small cap securities. This allows individual investors to execute trades in fast moving markets. Taobiz explains Small Order Execution System - SOES SOES is for individual traders with orders less than or equal to 1,000 shares.
A theory that holds that smaller firms, or those companies with a small market capitalization, outperform larger companies. This market anomaly is a factor used to explain superior returns in the Three Factor Model, created by Gene Fama and Kenneth French - the three factors being the market return, companies with high book-to-market values, and small stock capitalization. Taobiz explains Small Firm Effect The theory holds that smaller companies have a greater amount of growth opportunities than larger companies. Small cap companies also tend to have a more volatile business environment, and the correction of problems - such as the correction of a funding deficiency - can lead to a large price appreciation. Finally, small cap stocks tend to have lower stock prices, and these lower prices mean that price appreciations tend to be larger than those found among large cap stocks.
Refers to stocks with a relatively small market capitalization. The definition of small cap can vary among brokerages, but generally it is a company with a market capitalization of between $300 million and $2 billion. Taobiz explains Small Cap One of the biggest advantages of investing in small-cap stocks is the opportunity to beat institutional investors. Because mutual funds have restrictions that limit them from buying large portions of any one issuer's outstanding shares, some mutual funds would not be able to give the small cap a meaningful position in the fund. To overcome these limitations, the fund would usually have to file with the SEC, which means tipping its hand and inflating the previously attractive price. Keep in mind that classifications such as "large cap" or "small cap" are only approximations that change over time. Also, the exact definition can vary between brokerage houses.
A privately-owned investment company that is licensed by the Small Business Administration (SBA). Small Business Investment Companies (SBICs) supply small businesses with financing in both the equity and debt arenas. They provide a viable alternative to venture capital firms for many small enterprises seeking startup capital. Taobiz explains Small Business Investment Company - SBIC Small Business Investment Companies are allowed to borrow from the federal government in order to augment the funds of private investors. SBICs usually focus on investments in the $100,000 to $250,000 range, and tend to be considerably more forgiving than venture capital firms in their underwriting requirements.
1. A market that currently exhibits low trading volumes and/or low volatility levels. The term slow market can be used to describe a market with few issues coming up for sale to investors through initial public offerings and secondary offerings in the equity markets, or through new issuance in the corporate bond market. 2. A market in which trades are not executed at the fastest possible speed. Generally, a delay of more than a few seconds during the execution of a trade is considered slow, especially on the electronic trading exchanges. Taobiz explains Slow Market 1. Virtually any market will experience periods of low activity, ranging from a single day to months or longer. A slow market does not imply a rising or falling market, but it may imply a stationary or "hovering" market. 2. Regulation NMS was implemented to speed up situations in which slow markets exist by routing eligible orders to different exchanges for their immediate execution.
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