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1/f Noise
See: Anti-Persistence

10% guideline
The standard analysts' principle that funded debt over 10% of the assessed valuation of taxable property for a municipality is excessive.

10-K
Annual report required by the SEC each year. Provides a comprehensive overview of a company's state of business. Must be filed within 90 days after fiscal year-end. A 10-Q report is filed quarterly.

10-Q
Quarterly report required by the SEC each quarter. Provides a comprehensive overview of a company's state of business.

1040 form
The standard individual tax return form of the IRS.

1099
A statement sent to the IRS and taxpayers by the payers of dividends and interest and by issuers of taxable original issue discount securities.

1099 B
The tax statement used for reporting proceeds resulting from the sale, redemption or liquidation of shares.

1099 DIV
The tax statement used for reporting dividends paid to registered shareholders.

12B-1 fees
The percent of a mutual fund's assets used to defray marketing and distribution expenses. The amount of the fee is stated in the fund's prospectus. The SEC has recently proposed that 12B-1 fees in excess of 0.25% be classed as a load. A true no load fund has neither a sales charge nor a 12b-1 fee.

12B-1 funds
Mutual funds that do not charge an up-front or back-end commission, but instead take out up to 1.25% of average daily fund assets each year to cover the costs of selling and marketing shares, an arrangement allowed by the SEC's Rule 12B-1 (passed in 1980).

144 stock
Used in the context of general equities. Restricted stock.

19c3 stock
A stock listed on a national securities exchange after April 26, 1979, that is exempt from the Securities and Exchange Commission rule that prohibits exchange members from participating in off-board trading.