Sentences with phrase «stock risk disclosures»

Not exact matches

The chart depicts observed historical risk based on the performance of broad diversified indexes named in the disclosure for the chart «Drifting into risk as stock markets rise.»

based in part on their business line performance, and thus presented the potential for excessive risk taking, the HRC concluded that the emphasis on overall Company performance in compensation decisions, the existence of robust compliance, internal control, disclosure review and reporting programs and clawback policies, the Code of Ethics prohibition on, and right to discipline employees for manipulating business goals for compensation purposes and its prohibitions on derivative and hedging transactions in Company common stock, and the Company's stock ownership guidelines provided adequate safeguards that would either prevent or discourage excessive risk taking.

Broker - dealers must also provide, prior to a transaction in a penny stock not otherwise exempt from the rules, a standardized risk disclosure document that provides information about penny stocks and the risks in the penny stock market.

The penny stock rules require a broker - dealer, prior to a transaction in a penny stock not otherwise exempt from those rules, to deliver a standardized risk disclosure document, which: