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3. Counterparty risk (Risks Associated with ETF’s)
A synthetic ETF has counterparty risk, because the counterparty is contractually obligated to match the return on the index. The deal is arranged with collateral posted by the swap counterparty. A potential hazard is that the investment bank offering the ETF might post its own collateral, and that collateral could be of dubious quality. Furthermore, the investment bank could use its own trading desk as counterparty. These types of set-ups are not allowed under the European guidelines, Undertakings for Collective Investment in Transferable Securities (UCITS), so the investor should look for UCITS III-compliant funds.
Abandoned Baby (Bullish)
• Direction: Bullish
• Type: Reversal
• Reliability: Strong
• Day-one is a red day continuing an established bear trend.
• Day-two is a doji whose shadows trades below day-ones close.
• Day-three is a blue day that opens and trades above with little or no overlapping shadows
The Abandoned Baby is a rare bullish reversal pattern characterized by a large down move followed by a doji or small candle, and then a third candle heading in the opposite direction.
The formation reflects a classic three period reversal of market sentiment where after a bearish trend, finally enough buyers enter the market to take control. They first stop the trend's momentum (forming the doji), and then ultimately reverse the direction of the market.
This first red candle suggests a continuation of the bear market. That move is followed by a doji, where markets trade in a small range suggesting uncertainty in trend and a rally potential. Up to day two we actually have a Bullish Doji Star, moderate strength bullish pattern. After the day of indecision, a large bullish candle confirms buyers are staging a rally and reversal. The stronger the move up day-three, the stronger the reversal signal. Watch for additional bullish price action in the next few days.
Shooting Star
The shooting star is a type of bearish reversal pattern. The Shooting Star looks exactly the same as the Inverted hammer, but instead of being found in a downtrend it is found in an uptrend and thus has different implications. Like the Inverted hammer it is made up of a candle with a small lower body, little or no lower wick, and a long upper wick that is at least two times the size of the lower body.
The long upper wick of the candlestick pattern indicates that the buyers drove prices up at some point during the period in which the candle was formed but encountered selling pressure which drove prices back down for the period to close near to where they opened. As this occurred in an uptrend the selling pressure is seen as a potential reversal sign. When encountering this pattern traders will look for a lower open on the next period before considering the pattern valid and potentially including it in their trading strategy.
As with the Inverted hammer most traders will see a longer wick as a sign of a greater potential reversal and like to see an increase in volume on the day the Shooting Star forms.
SEC Filings Explained ~ Rule 144
On December 6, 2007, the SEC published final rules revising Rule 144 under the Securities Act of 1933, which regulates the resale of restricted securities and securities held by affiliates. The amendments to Rule 144, among other things:
1. Shorten the holding period for affiliate and non-affiliate holders of restricted securities of SEC-reporting companies to six months, subject to certain conditions
2. Permit unlimited resale by non-affiliate holders of restricted securities by complying only with the current public information condition for resale of restricted securities issued by SEC reporting companies made after the six-month holding period; and without complying with any Rule 144 conditions for resale of restricted securities issued by both SEC reporting and non-reporting companies made after a one-year holding period.
3. permit resale of equity securities by affiliates that meet certain conditions through riskless principal transactions and brokers’ transactions in which the broker has published bid and asked quotations for the security in an alternative trading system.
4. Eliminate the manner of sale conditions and ease the volume limitations for resale of debt securities by affiliates.
5. Increase the thresholds that trigger the Form 144 filing requirement to 5,000 shares or $50,000.
The SEC did not adopt previously proposed provisions relating to the tolling of holding periods in connection with hedging transactions.
The amendments will become effective on February 15, 2008, and will apply to securities acquired before or after that date. Background
Rule 144 regulates the resale of “restricted securities”1 and “control securities,”2 by establishing certain conditions that must be satisfied in order for the resale to be exempt from the Securities Act registration requirements pursuant to Section 4(1) of the Securities Act—a safe harbor from “underwriter” status for the selling security holder.
The conditions include the following:
? There must be adequate current public information available about the issuer;
? If the securities being sold are restricted securities, the security holder must have held the security for a specified holding period;
? The resale must be within specified sales volume limitations;
? The resale must comply with the manner of sale requirements of the rule; and
? The selling security holder must file Form 144 with the SEC if the amount of securities being sold exceeds specified thresholds.
Amendments to Conditions for Resale of Restricted Securities
Restricted Securities of SEC-Reporting Companies. The SEC has reduced the holding period under Rule 144 for restricted securities of SEC-reporting companies held by both affiliates and non-affiliates from one year to six months. Affiliate holders of reporting company securities may now resell their restricted securities after six months, subject to the other Rule 144 requirements. Non-affiliate holders of reporting company securities (who have also not been affiliates during the prior three months) may now resell their restricted securities held between six months and one year subject only to Rule 144’s current public information requirement. Any such resale by a non-affiliate after one year will be exempt from all Rule 144 requirements.
Restricted Securities of Non-Reporting Companies. There is still a one-year holding period for affiliate and non-affiliate holders of restricted securities in non-reporting companies under amended Rule 144. After the one-year holding period, non-affiliates may now resell their restricted securities without having to comply with any other Rule 144 requirements; affiliates seeking to resell their restricted securities must still meet all Rule 144 requirements.
The manner of sale requirements of Rule 144 require securities to be sold in “brokers’ transactions” or in transactions directly with a “market maker.”
The rule includes restrictions on (1) soliciting or arranging for the solicitation of orders to buy the securities in anticipation of, or in connection with, the Rule 144 transaction or (2) making any payment in connection with the offer or sale of the securities to any person other than the broker who executes the order to sell the securities.
The SEC amended these rules to also permit the resale of restricted equity securities by affiliates through riskless principal transactions in which trades are executed at the same price, exclusive of any explicitly disclosed markup or markdown, commission equivalent or other fee, and the rules for a self-regulatory organization permit the transaction to be reported as riskless.3 The amended rule also expands the definition of a “brokers’ transaction” for purposes of such resale by permitting a broker to insert bid and ask quotations for the security in an alternative trading system, provided that the broker has published bona fide bid and ask quotations for such security on each of the last 12 business days. Resale of Restricted Debt Securities The SEC has eliminated the manner-of-sale requirements for affiliate resale of debt securities, including non-participatory preferred stock (which has debt-like characteristics) and asset-backed securities. The SEC also raised the volume limitations for the resale of debt securities to permit resale in an amount that does not exceed ten percent of a tranche (or a class with respect to non-participatory preferred stock), together with all sales of securities of the same tranche sold for the selling debt security holder within a three-month period. Form 144 Filing Triggers
The sales thresholds for filing Form 144 have been increased from 500 shares or $10,000 worth of securities to 5,000 shares or $50,000. Codified
SEC Staff Interpretations
The SEC has also codified various staff interpretations relating to Rule 144, including the following:
1. Stating that securities acquired by accredited investors pursuant to Section 4(6) of the Securities Act are considered restricted securities
2. Permitting tacking of holding periods when a company reorganizes into a holding company structure
3. Permitting tacking of holding periods for conversions and exchanges of securities
4. Deeming the acquisition dates for securities acquired pursuant to the cashless exercise of options and warrants as the dates the options or warrants were acquired
5. Permitting a pledgee of restricted securities to sell the pledged securities without having to aggregate the sale with sales by other pledgees from the same pledgor (as long as there is no concerted action by those pledgees), for purposes of the Rule 144 volume limitation condition
6. Permitting the Form 144 representations required from security holders relying on Exchange Act Rule 10b5-1 to be made as of the date the holder adopted a trading plan or gave trading instructions
7. Confirming the unavailability of Rule 144 for the resale of securities by reporting and non-reporting firms
Bond ETFs
Exchange-traded funds that invest in bonds are known as bond ETFs. They thrive during economic recessions because investors pull their money out of the stock market and into bonds (for example, government treasury bonds or those issues by companies regarded as financially stable). Because of this cause and effect relationship, the performance of bond ETFs may be indicative of broader economic conditions.[22] There are several advantages to bond ETFs such as the reasonable trading commissions, but this benefit can be negatively offset by fees if bought and sold through a third party
Inverted Hammer
The Inverted Hammer is a type of bullish reversal pattern. As its name implies, the Inverted Hammer looks like an upside down version of the hammer candlestick pattern. Like the hammer candlestick pattern, the Inverted Hammer consists of one candle and when found in a downtrend is considered a potential reversal pattern.
The pattern is made up of a candle with a small lower body and a long upper wick which is at least two times as large as the short lower body. The body of the candle should be at the low end of the trading range and there should be little or no lower wick in the candle.
The long upper wick of the candlestick pattern indicates that the buyers drove prices up at some point during the period in which the candle was formed but encountered selling pressure which drove prices back down for the period to close near to where they opened. As this occurred in an uptrend the selling pressure is seen as a potential reversal sign. When encountering the Inverted Hammer traders will look for a higher open on the next period before considering the pattern confirmed and potentially including it in their trading strategy.
Index ETFs
Most ETFs are index funds that attempt to replicate the performance of a specific index. Indexes may be based on stocks, bonds, commodities, or currencies. An index fund seeks to track the performance of an index by holding in its portfolio either the contents of the index or a representative sample of the securities in the index.[5] As of June 2012, in the United States, about 1200 index ETFs exist, with about 50 actively managed ETFs. Index ETF assets are about $1200 billion, compared with about $7 billion for actively managed ETFs.[18] Some index ETFs, known as leveraged ETFs or inverse ETFs, use investments in derivatives to seek a return that corresponds to a multiple of, or the inverse (opposite) of, the daily performance of the index.[19]
Some index ETFs invest 100% of their assets proportionately in the securities underlying an index, a manner of investing called "replication". Other index ETFs use "representative sampling", investing 80% to 95% of their assets in the securities of an underlying index and investing the remaining 5% to 20% of their assets in other holdings, such as futures, option and swap contracts, and securities not in the underlying index, that the fund's adviser believes will help the ETF to achieve its investment objective. For index ETFs that invest in indices with thousands of underlying securities, some index ETFs employ "aggressive sampling" and invest in only a tiny percentage of the underlying securities
Form 10-K~ SEC Filings Explained
A Form 10-K is an annual report required by the U.S. Securities and Exchange Commission (SEC), that gives a comprehensive summary of a public company's performance. Although similarly named, the annual report on Form 10-K is distinct from the often glossy "annual report to shareholders," which a company must send to its shareholders when it holds an annual meeting to elect directors (though some companies combine the annual report and the 10-K into one document). The 10-K includes information such as company history, organizational structure, executive compensation, equity, subsidiaries, and audited financial statements, among other information.
Companies with more than $10 million in assets and a class of equity securities that is held by more than 500 owners must file annual and other periodic reports, regardless of whether the securities are publicly or privately traded. Up until March 16, 2009, smaller companies could use Form 10-KSB. If a shareholder requests a company’s Form 10-K, the company must provide a copy. In addition, most large companies must disclose on Form 10-K whether the company makes its periodic and current reports available, free of charge, on its website. Form 10-K, as well as other SEC filings may be searched at theEDGAR database on the SEC's website.
In addition to the 10-K, which is filed annually, a company is also required to file quarterly reports on Form 10-Q. Information for the final quarter of a firm'sfiscal year is included in the annual 10-K, so only three 10-Q filings are made each year. In the period between these filings, and in case of a significant event, such as a CEO departing or bankruptcy, a Form 8-K must be filed in order to provide up to date information.
The name of the Form 10-K comes from the CFR (Code of Federal Regulations) designation of the form pursuant to sections 13 and 15(d) of the Securities Exchange Act of 1934 as amended.
Related Forms
Unlike the 10-K filed annually, other forms serve related purposes, but have different schedules. Form 10-Q, much briefer, is filed after each of the three quarters that do not have a 10-K filing. Form 8-K covers special material events that occur between 10-K and 10-Q filings.
A substantial number of firms filed their 10-K as a Form 10-K405 during the late 1990s and early 2000s (decade). A 10-K405 is a 10-K where the Regulation S-K Item 405 box on the cover page is checked. Due to confusion in its application, the 10-K405 was eliminated in 2002.
Filing Deadlines
Historically, Form 10-K had to be filed with the SEC within 90 days after the end of the company's fiscal year. However, in September 2002, the SEC approved a Final Rule that changed the deadlines to 75 days for Form 10-K for "accelerated filers"; meaning issuers that have a public float of at least $75 million, that have been subject to the Exchange Act's reporting requirements for at least 12 calendar months, that previously have filed at least one annual report, and that are not eligible to file their quarterly and annual reports on Forms 10-QSB and 10-KSB. These shortened deadlines were to be phased in over a three-year period, however in 2004 the SEC postponed the three-year phase in by one year. In December 2005, the SEC created a third category of "large accelerated filers," accelerated filers with a public float of over $700 million. As of December 27, 2005, the deadline for filing for large accelerated filers was still 75 days, however beginning with the fiscal year ending on or after December 15, 2006, the deadline will be 60 days. For other accelerated filers the deadline will remain at 75 days and for non-accelerated filers the deadline will remain at 90 days. For further reading, see the Final Rules [1] section of the SEC's website, referencing Rule 33-8644.
Parts
Every annual report contains 4 parts and 15 schedules. They are
PART I
ITEM 1. Description of Business
ITEM 1A. Risk Factor
ITEM 1B. Unresolved Staff Comments
ITEM 2. Description of Properties
ITEM 3. Legal Proceedings
ITEM 4. Mine Safety Disclosures
PART II
ITEM 5. Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities
ITEM 6. Selected Financial Data
ITEM 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations
ITEM 7A. Quantitative and Qualitative Disclosures About Market Risk
ITEM 8. Financial Statements and Supplementary Data
ITEM 9. Changes in and Disagreements With Accountants on Accounting and Financial Disclosure
ITEM 9A(T). Controls and Procedures
ITEM 9B. Other Information
PART III
ITEM 10. Directors, Executive Officers and Corporate Governance
ITEM 11. Executive Compensation
ITEM 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters
ITEM 13. Certain Relationships and Related Transactions, and Director Independence
ITEM 14. Principal Accounting Fees and Services
PART IV
ITEM 15. Exhibits, Financial Statement Schedules Signatures
Part 1
Item 1 - Business
This describes the business of the company: who and what the company does, what subsidiaries it owns, and what markets it operates in. It may also include recent events, competition, regulations, and labor issues. (Some industries are heavily regulated, have complex labor requirements, which have significant effects on the business.) Other topics in this section may include special operating costs, seasonal factors, or insurance matters.
Item 1A - Risk Factors
Here, the company lays out anything that could go wrong, likely external effects, possible future failures to meet obligations, and other risks disclosed to adequately warn investors and potential investors.
[Item 2 - Properties
This section lays out the significant properties, physical assets, of the company. This only includes physical types of property, not intellectual or intangible property.
Item 3 - Legal Proceedings
Here, the company discloses any significant pending law suit or other legal proceeding. References to these proceedings could also be disclosed in the Risks section or other parts of the report.
Item 4 - Mine Safety Disclosures
This section requires some companies to provide information about mine safety violations or other regulatory matters.
Item 5 - Market
Gives high's and low's of stock, in a simple statement. Market for Registrant's Common Equity, related stockholder matters and issuer purchases of equity securities.
Item 6 - Consolidated Financial Data
In this section Financial Data showing consolidated records for the legal entity as well as subsidiary companies.
Item 7 - Management's Discussion and Analysis
Here, management discusses the operations of the company in detail by usually comparing the current period versus prior period. These comparisons provide a reader an overview of the operational issues of what causes such increases or decreases in the business.
Forward Looking Statements
Forward-looking statement is the disclaimer that projections as to future performance are not guaranteed, and things could go otherwise.
Item 8 - Financial Statements
1. Independent Auditor's Report 2. Consolidated Statements of Operation 3. Consolidated Balance Sheets 4. other accounting reports and notes.
Here, also, is the going concern opinion. This is the opinion of the auditor as to the viability of the company. Look for "unqualified opinion" expressed by auditor. This means the auditor had no hesitations or reservations about the state of the company, and the opinion is without any qualifications (unconditional).
Five percent ownership
Five percent ownership refers to companies or individuals who hold at least 5% of the total value of the stock of a public company. They usually are founders of the company or large mutual fund companies, and because of how much stock they own, they usually have access to the board of directors of the company and hold significant sway over the company.
Five percent owners must also file Schedule 13d with the SEC.
$NECA .0003 - This is GREAT news for $NECA. Taken from $ONCI press release on Friday 1/19/2018..."CEO Steve Berman states, "We are pleased to announce that we have signed a contract with Cataclean Corp to represent Bsafe Mobile Bfound Mobile and all other products we create in Great Britain and Ireland. Cataclean sells products to every auto parts store and every auto dealer in Great Britain and Ireland".
ATLANTA, GA--(NewMediaWire - Sep 22, 2017) - Title King, through its parent Company, New America Energy Corp. (OTC PINK: NECA), announces that the Company has executed an App Development agreement with On4 Communications (OTC PINK: ONCI) to create three (3) new applications in the Auto Insurance and Auto Safety Industry.
Big things happening here...$$$$
IFXY setting up to run hard on blockchain, crypto and cannabis merger!
LAHO Paysperity Payment-Engine is your robust payment platform for Retail, Mobile and Internet. Take payments from your customers when it is convenient for them. An omni channel payment platform enabling merchants to increase revenue and efficiency.
Validated PCI DSS Level 1 Service Provider
Responsive Cloud Delivered Payment Apps
Virtual Terminal
Support for Debit/EMV PIN PAD & Encrypted Readers
Hosted Payment Form
Recurring Billing & Invoicing
API, Client side encryption & tokenization
NQ Nice!! Rally. Patience!!!! $NQ
#ASTI Is Penny's #Energy Monster!
KODK= KodakCoin(Crypto)+Bitcoin +Blockchain.
KODK= Strong BUY.
$KODK= A good Bitcoin, cryptocurrency stock.
KODK's Bitcoin mining machines, KodakCOIN(1/31/2018)
http://www.bbc.com/news/technology-42630136
2)
KodakCOIN count down to launch https://kodakcoin.com/
=====KodakCOIN to launch on 1/31/2018======
2)
https://investorshub.advfn.com/boards/read_msg.aspx?message_id=137782696
KODK= KodakCoin(Crypto)+Bitcoin +Blockchain.
KODK= Strong BUY.
$KODK= A good Bitcoin, cryptocurrency stock.
EVRN is looking like it might be ready for another move, nice volume increase the last couple of days, already a double.
BMXC- BMXC-Bemax Inc. Releases Revenue Projections of $2.2Million for full year 2018.
Outstanding shares- 388,689,775.
Revenue Projections
AFTC: The Best OTC stock --- Meager 61M shares FIXED Tiny float! Only 592M shares FIXED Small OS since 2010! Zero Dilution over Seven Years! $0.0007 a share Positive Book Value v.s. at Mere price $0.0003 now! Key DME New Fuel Technologies --- see the first link below! Easy 21-Bagger to hit the recent high 0.0021 again! "STRONG BUY" rating from the second link below!
All its OTC peers like ADFS (262-Bagger), BRTE (200-Bagger), NXTN (143-Bagger), NNSR (105-Bagger), EFLN (69-Bagger), EVRN (40-Bagger), NCTW (40-Bagger), BRNE (35-Bagger), EXBX (20-Bagger), XHUA (15-Bagger), SNVP (14-Bagger), HEME (13-Bagger), IDOI (11-Bagger), DANR (10.5-Bagger), TYTN (10-Bagger), WWTH (8-Bagger), TRDX (8-Bagger), VGTL (7-Bagger), and EIPC (6.7-Bagger) etc. exploded most recently v.s. AFTC only did 5-Bagger so far...
https://www.aboutdme.org/index.asp?sid=48
http://www.stockta.com/cgi-bin/analysis.pl?symb=AFTC&num1=1&cobrand=&mode=stock
$PMCB https://earlebusinessunion.com/market-scope-pharmacyte-biotech-inc-pmcb-ratcheting-up-investor-interest/652662/Market Scope: Pharmacyte Biotech Inc (PMCB) Ratcheting Up Investor Interest
The Business Union - 5h ago
Taking a closer look at shares of Pharmacyte Biotech Inc (PMCB), we have noted that the Chaikin Oscillator reading is currently above zero.Market Scope: Pharmacyte Biotech Inc (PMCB) Ratcheting Up Investor Interest
The Business Union - 5h ago
Taking a closer look at shares of Pharmacyte Biotech Inc (PMCB), we have noted that the Chaikin Oscillator reading is currently above zero.
$STGZ Incredible!!! This is only the beginning IMHO
Incredible week!$STGZ
$AHIX – Buy Low Sell High Chance is at the door !!
http://inventions4you.com/pbio1.html
If it’s audited fins you want then buy amfe Monday morning. Train is leaving the station at open!
AMFE is set to blow at 630am PT Monday January 22nd! Don’t say we didn’t warn you!
Audited fins enable the uplisting and then a dividend/spinoff/acquisition right behind it!
ONCI! PR train leading up to AUDITED fins!
$DNAD to be next weeks winner.
Take a look at this chart...
The pps ran up to a high of $.05 a share on news of "DNA Dynamics, Inc. to Acquire Lucrative Bitcoin ATM Patent", not yet acquired though. And as you can see the stock price dwindled down to below $.01 a share. Well since then, the Patent has actually been acquired.
And as of yesterday, the company returned 5 BILLION shares to the treasury!
And it has been confirmed the float is only 166m
With the Bitcoin ATM Patent actually being closed, half the outstanding shares eliminated, and a low float, I believe $DNAD can make it back to its high of $.05 very soon.
$SC SiaCoin Is Going To Be Huge Long Term!!! ~ Bitmain Just Sold Their 1st Batch of Miners ~ Releasing The New Antminer A3 In A Week To Mine This Coin ;) imo
I got My Coins Here https://hitbtc.com/?ref_id=5a637e6edd1d1
Big opportunity to make huge money. ADTM will be a financier of the cannabis industry. As of now majority of banks have refused to loan money to this industry. ADTM stepped in recently secured 50 million cash from hedge funds and other investors to serve as the main player in this upcoming billion dollar market. They have no debt, and will be cash flow positive this month! ADTM is currently trading around .0014 and has a short term Target price of .05. There is a big opportunity here.
$ AMFE is uplisting!
AMFE is Uplisting!
It’s a rare thing that a pink actually makes the uplist. Many say they want to, say they will but AMFE is actually doing it! AMFE has risen so much over the past year. New corporate stores, Franchising has started, Self-Publishing Games, Drink Distribution, Certified Organic Marijuana Growing Equipment, Hardscape Construction, more and more!
AMFE has MULTI MILLION DOLLAR REVENUE STREAMS that are recurring and continue to grow!
Amazing story, Amazing Management, Amazing Company!
Just look at what they did in 2017, I’ll bet ALL your pink company combined have not done as much real work as AMFE
What AMFE did in 2017!
Now look at where they are going in 2018, starting with an Uplist!
AMFE Plans for 2018!
Incredibly Undervalued, I highly suggest you go do a little DD before the record breaking multi million Q2 numbers come out shortly, along with the GRO3 Certified Organic Marijuana growing system comes out!
AMFE:2018:EXPONENTIAL
$$$$ AMFE $$$$
DCAC >>> $$$$$ WATCH FOR A BIG WEEK COMING..
good morning/ 01-20-2018
$$$ Dilly Dilly $$$
Copperland Cometh !!
Daily Candlestick Chart for ABBY
[img]stockcharts.com/c-sc/sc?s=ABBY
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![]() ![]() ![]() UPDATE; 5-1-22 courtesy of charting /\ wit tweezer top calls /\ Tony @Montana_Trades Really good study sheet on Candlestick Patterns [-chart]pbs.twimg.com/media/FRn8188XMAAdZvk?format=jpg&name=small[/chart] ![]()
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