Establishing ownership of stock depends on how the stock was purchased, according to the Securities and Exchange Commission. A brokerage firm may have purchased the stock or it may have been bought directly from the company.Continue Reading
A brokerage firm may have bought stock in the owner's name or in its name. Either way, the firm should have a record of the purchase if it is less than 6 years old, reports the Securities and Exchange Commission. For older stock purchases, a transfer agent for the company keeps a record of all the securities owners. Names and addresses of transfer agents are in the report that companies file with the SEC. Some companies also have an investor relations office that can provide information on their stocks.
Stocks purchased directly from the company should either be on paper as a stock certificate or listed in the company's computer records, states the Securities and Exchange Commission. For companies that are not publicly traded, the state in which they were incorporated can supply information on them. If the stock is not listed with a brokerage firm, transfer agent or the company, the stock may have been turned over to the unclaimed property office in the state of the owner's last known address.Learn more about Investing
An Initial Public Offering (IPO) must be filed through the Securities and Exchange Commission (SEC). Information about IPOs can be found on the agency's website. Renaissance Capital is "The IPO Expert," according to its website, which contains information about US and foreign IPOs. The NASDAQ website is another good source of information.Full Answer >
Penny stocks, also called micro-cap stocks, are any stocks under $5, according to the Securities and Exchange Commission; however, some organizations consider stocks under $3 or $1 to be penny stocks, says Nasdaq. Penny stocks are riskier than regular stocks and require thorough research prior to purchase.Full Answer >
It is not possible to avoid risk when investing in mutual funds, the Securities and Exchange Commission advises. Mutual funds are not insured by the Federal Deposit Insurance Corporation and therefore carry the potential for losses.Full Answer >
In 1934, the United States established the Securities and Exchange Commission to regulate the trading of stocks, commodities bonds and other types of securities, according to History. When the stock market crashed on Oct. 29, 1929, there was virtually no regulation or control on the issuing and trading of securities.Full Answer >