| 1. | Immunity | In the legal sense, immunity is exemption from normal legal duties, penalties, or liabilities, granted to an individual or a group. Exemption from legal prosecution, often granted a witness in exchang… 0.2 KB |
| 2. | Independence | Free from the influence, guidance, or control of another or others. Audit firm independence means they are objective and are not under the influence of the corporation for which they are performing an audit. |
| 3. | Independence Standards | Independence Standards Board - Independent organization formed by the Securities and Exchange Commission and American Institute of Certified Public Accountants to improve independence standards for au… 0.2 KB |
| 4. | Independent Public Accounting Firm | Am accounting firm which provides a company with an accountant's opinion but who is not otherwise affiliated with the company. Sarbanes Oxley now requires Accounting Firms of public companies to Regis… 0.3 KB |
| 5. | Individual Account Plan | Refers to an individual's retirement account. |
| 6. | Injunction | A court order prohibiting a party from a specific course of action. |
| 7. | Insider Trading | Insider Trading |
| 8. | Institutional | Refers to an investment institution with large amounts to invest, such as investment companies, mutual funds, brokerages, insurance companies, pension funds, investment banks and endowment funds. Such… 0.3 KB |
| 9. | Integrity | Refers to adherence to a strict moral or ethical code. A person who has integrity is unlikely to be dissuaded from making ethical decisions or taking ethical actions. |
| 10. | Internal Control Over Financial Reporting | A process designed by, or under the supervision of, the registrant's principal executive and principal financial officers, or persons performing similar functions, and effected by the registrant's boa… 1.5 KB |
| 11. | Internal Control over safeguarding of assets against unauthorized acquisition, use or disposition | Internal control over safeguarding of assets against unauthorized acquisition, use or disposition is a process, effected by an entity's board of directors, management and other personnel, designed to … 0.5 KB |
| 12. | Internal Controls | 1) A process, effected by an entity's board of directors, management and other personnel, designed to provide reasonable assurance regarding the achievement of objectives" in three categories--effecti… 0.8 KB |
| 13. | Internal Revenue Service | The IRS is a division of the U.S. Treasury Dept. abd is responsible for the assessing and collecting most federal taxes. Execptions are those taxes relating to alcohol, tobacco, firearms, and explosiv… 0.3 KB |
| 14. | Investment Advisor | An investment advisor is one who makes investment recommendations to client in return for a fee - usually either a fixed fee or a percentage of assets that are managed for the client. |
| 15. | Investment Banks | These are banks which provide service for corporations and municipalities that issue securities. They "underwrite" these securities by assuming the risk in selling the securities as they typically hav… 0.7 KB |
| 16. | Investor | An individual who commits money to investment products with the expectation of financial returns. Generally, the primary concern of an investor is to minimize risk while maximizing return, as opposed … 0.3 KB |
| 17. | Issuer | The person or entity that issues a stock, bond of other security for the purpose of obtaining funds. SEC Act 1933 Definitions |
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