A technical trading signal that is marked by a closing down day with a good-sized trading range, followed by a trading gap (drop) lower the following day that covers at least half of the upward length of the previous day's real body (the range between the opening and closing prices), and then closes up for the day. A piercing pattern often signals the end of a small to moderate downward trend. A piercing pattern can serve as an indicator that it is time to either buy a stock or close out short positions because the stock may be trending upward soon. It should not, however, be used as a stand-alone indicator, but should be compared against other bullish and bearish indicators.
A filing with the Securities and Exchange Commission (SEC), also known as the Profiles for Certain Open-Ended Investment Companies Form, used to file official copies of a "Short-Form Prospectus" for open-ended mutual funds. The information contained on SEC Form 497K1 includes the risks, costs, potential holdings, and redemption procedures for an open-ended mutual fund being sold to the public. Taobiz explains SEC Form 497K1 SEC Form 497K1 is used to file an abbreviated version of a mutual fund prospectus, that is meant to be much easier for investors to review and understand. Prior to the Short Form Prospectus, investors had to search through the much larger full-length prospectus to find the information required to make informed investment choices. In addition to benefiting the consumer, the use of a SEC Form 497K1 dramatically reduces the costs for mutual funds associated with delivering those larger prospectuses to customers. Related Forms: SEC Forms 497K2, 497K3, N-1
A continuation pattern in technical analysis formed when there is a large movement in a stock, the flagpole, followed by a consolidation period with converging trendlines, the pennant, followed by a breakout movement in the same direction as the initial large movement, the second half of the flagpole.As can be seen in the above picture, there is a large rise in the stock, followed by a converging consolidation period that resembles a pennant and a resulting continuation of the initial trend. Pennants, which are similar to flags in terms of structure, have converging trendlines during their consolidation period and they last from one to three weeks. The volume at each period of the pennant is also important. The initial move must be met with large volume while the pennant should have weakening volume, followed by a large increase in volume during the breakout.
In technical analysis, the distinctive formation created by the movement of security prices on a chart. It is identified by a line connecting common price points (closing prices, highs, lows) over a period of time. Chartists try to identify patterns to try to anticipate the future price direction. Also known as "trading pattern". Patterns in security prices occur daily. However, although the various kinds of price patterns may in hindsight be easy to understand and see on paper, it is much harder to spot, and trade these formations in real time. There are many different kinds of patterns in technical analysis: the cup and handle, ascending/descending channels and, among others, the head-and-shoulders pattern.
A filing with the Securities and Exchange Commission (SEC), also known as the Pre-Effective Pricing Amendments Form, that is used to amend the information contained on a previously filed SEC Form S-6 for Unit Investment Trust Registration. The information required on SEC Form 487 is the same as required on as the initial Form S-6, including management company info, risks, costs and portfolio objectives. Taobiz explains SEC Form 487 SEC Form 487 is used to make amendments prior to the actual issuance of a Registered Investment Trust. Oftentimes the amendments made to the original SEC Form S-6 are simply additions of information that was not available at the time of the initial filing. To help identify changes, a SEC Form 487 usually contains a "Memorandum of Change" that outlines what changes have been made. Related Forms: SEC Forms S-6, 458, 486
An SEC designation for traders who trade the same security four or more times per day (buys and sells) over a five-day period, and for whom same-day trades make up at least 6% of their activity for that period. An individual deemed a pattern day trader must hold a minimum of US$25,000 in equity in his or her account before being allowed to day trade. This $25,000 equity amount must be maintained in the account at all times because it addresses the additional risks inherent in leveraged day-trading activities and ensures that customers, before continuing to day trade, cover any losses incurred in their accounts from the previous day.
A form issued by the Securities and Exchange Commission (SEC) that must be submitted by all "foreign private issuers" that have listed equity shares on exchanges in the United States. Form 20-F calls for the submission of an annual report within six months of the end of the company's fiscal year, or if the fiscal year-end date changes. The reporting and eligibility requirements for form 20-F are stated in the Securities Exchange Act of 1934. The information requirements are not as strict as for domestic U.S. companies; companies in which less than 50% of voting shares are held by U.S. investors may be eligible. Taobiz explains SEC Form 20-F once a company is deemed ineligible for foreign private issuer status, it must file the same forms as regular filers, such as 8-k, 10-Q, and 10-K reports, as well as reconciling accounting statements to GAAP standards. The goal of Form 20-F is to standardize the reporting requirements of foreign-based companies so that investors can evaluate these investments alongside domestic equities.
A filing with the Securities and Exchange Commission (SEC), also known as the Application for Registration of Foreign Governments and Political Subdivisions, used to register securities to be offered by foreign governments in the U.S. markets. The information required on SEC Form 18-12B includes the title, type and amount of security, as well as the exchanges it will trade on. Taobiz explains SEC Form 18-12B SEC Form 18-12B is useful for getting a snapshot of information about a foreign security that is currently available in the United States. Many investors used the SEC Form 18-12B to get a clearer picture of which department of a foreign government is issuing the security as well as the maturity date and interest rate of bond issue. Related SEC Forms: SEC Forms 18-12B/A, 18-12G, 18-12G/A
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