The waiting period is the stage in the initial public offering (IPO) process after the issuer files their registration statement with the Securities and Exchange Commission (SEC) and waits for the SEC to declare their registration statement...
securities
wash sale
Wash sale is defined as selling of an asset such as stocks or bonds on a loss and repurchasing of other stocks or bonds of substantially similar nature within a very short period of time frame. This method is often used to realize a loss, so...
watered stock
Watered stock refers to any stock issued by a corporation to someone in exchange for assets that under-compensate for the stock. The issue was a larger problem in the early 20th century when investors depended on the par value of stocks which...
well-known seasoned issuer (WKSI)
Well-known seasoned issuer (WKSI) is a category of issuer which allows greater flexibility in accessing U.S. public markets.
Qualification as a well-known seasoned issuerFor an issuer to qualify as a WKSI, they must...
Wells Notice
A "Wells Notice" is a letter sent by a securities regulator to a prospective respondent, notifying him of the substance of charges that the regulator intends to bring against the respondent, and affording the respondent with the opportunity to submit a...
Wells Submission
A response to a Wells Notice. A Wells Notice warns a person or business of possible enforcement action by the U.S. Securities and Exchange Commission (SEC). In a Wells Submission, the person or business so warned has the opportunity to present facts...