Pass Your FINRA Exam Guaranteed Or Your Money Back With Our Greenlight Guarantee

Securities Institute of America
  • Securities Exam Prep
    • SIE Exam Prep
    • Series 3 Exam Prep
    • Series 4 Exam Prep
    • Series 6 Exam Prep
    • Series 6 and 63 Exam Prep
    • Series 7 Exam Prep
    • Series 7 and 63 Exam Prep
    • Series 7 and 66 Exam Prep
    • Series 9 Exam Prep
    • Series 9 and 10 Exam Prep
    • Series 10 Exam Prep
    • Series 22 Exam Prep
    • Series 24 Exam Prep
    • Series 26 Exam Prep
    • Series 39 Exam Prep
    • Series 57 Exam Prep
    • Series 63 Exam Prep
    • Series 65 Exam Prep
    • Series 66 Exam Prep
    • Series 99 Exam Prep
    • SIE and Series 6 Exam Prep
    • SIE and Series 7 Exam Prep
    • Video Classes
    • CFA Exam Prep
    • Interactive Online Exams
  • Continuing Education
    • S101 Regulatory CE
    • S106 Regulatory CE
    • S201 Regulatory CE
    • S901 Regulatory CE
    • Insurance CE
    • Firm Element Solutions
  • Live
    • Hold An On-Site Class
    • Private Tutoring
  • Free Stuff
    • Free Coupon
    • Free Securities Training
  • Login
    • Progress Track Online
  • About Us
  • Explore
    • Securities Institute of America
    • Partner With Us
    • Contact Us
    • FAQ’s
    • Blog
    • Definitions
  • 877 218-1776
About the Securities Institute of America
  • Home / Definitions

Securities Exam Definitions

Sales & Support

  • 12 B-1 Fee
  • 30-Day Visible Supply
  • 30-Day Visible Supply
  • 401k
  • 403B Plan
  • 5 Percent Markup Policy
  • 75-5-10 Diversification
  • Able Account
  • Acceptance Waiver and Consent
  • Account Executive (AE)
  • Accredited Investment Fiduciary (AIF) Designation
  • Accredited Investor
  • Accretion
  • Accrued Interest
  • Accumulation Stage
  • Accumulation Unit
  • Acid Test Ratio
  • ACT Automated Transaction Comparison Service
  • Ad Valorem Tax
  • Adjusted Basis
  • Adjusted Gross Income
  • Administrator
  • ADR
  • Advance / Decline Line
  • Advance Refunding
  • Advertisement
  • Affiliate
  • Agency Issue
  • Agency Transaction
  • Agent
  • Aggregate Indebtedness
  • All or None Order
  • All or None Underwriting
  • Allied Member
  • Alpha
  • Alternative funds
  • Alternative Minimum Tax (AMT)
  • AMBAC Indemnity Corporation
  • American Depository Receipt/ American Depository Security
  • American Stock Exchange / AMEX
  • Amortization
  • Annual Compliance Review
  • Annuitant
  • Annuitize
  • Annuity
  • Annuity Unit
  • Appreciation
  • Arbitrage
  • Arbitration
  • Ask
  • Assessed Value
  • Assessment
  • Asset
  • Asset Allocation Fund
  • Assignee
  • Assignment
  • Associated Person
  • Assumed Interest Rate (AIR)
  • At The Close Order
  • At The Money
  • At The Opening Order
  • Auction Market
  • Authorized Stock
  • Automatic Options Switch (AUTOAMOS)
  • Automatic Post Execution and Reporting (AUTOPER)
  • Average Cost
  • Average Price
  • Back-end Load
  • Backing Away
  • Backwardation
  • Balance of Payments
  • Balance of Trade
  • Balance Sheet
  • Balance Sheet Equation
  • Balanced Fund
  • Balloon Maturity
  • Banker’s Acceptance (BA)
  • Basis
  • Basis Book
  • Basis Grade
  • Basis Point
  • Basis Quote
  • BBB/ Baa
  • Bear Market
  • Bearer Bond
  • Bearish
  • Best Efforts Underwriting
  • Beta
  • Beta Hedge
  • Bid
  • Blind Pool
  • Block Trade
  • Blotter
  • Blue Chip Stock
  • Blue List
  • Blue Sky
  • Blue Sky Laws
  • Board Broker
  • Board of Directors
  • Board of Governors
  • Bonafide Quote
  • Bond
  • Bond Anticipation Note
  • Bond Buyer Indexes
  • Bond Counsel
  • Bond Fund
  • Bond Interest Coverage Ratio
  • Bond Quotes
  • Bond Rating
  • Bond Ratio
  • Bond Swap
  • Book Entry
  • Book Value
  • Book Value Per Bond
  • Book Value Per Share
  • Branch Office
  • Breadth
  • Breakdown
  • Breakeven Point
  • Breakout
  • Breakpoint Sale
  • Breakpoint Schedule
  • Broad Based Index
  • Broker
  • Broker Dealer
  • Broker’s Broker
  • Bull Market
  • Bullish
  • Business Cycle
  • Business Day
  • Butterfly Spread
  • Buy In
  • Buyer’s Option
  • Call Date
  • Call Feature
  • Call Price
  • Call Protection
  • Call Provision
  • Call Risk
  • Call Spread
  • Call Writer
  • Callable Bond
  • Callable Preferred
  • Capital
  • Capital Appreciation
  • Capital Assets
  • Capital Gain
  • Capital Loss
  • Capital Market
  • Capital Risk
  • Capital Stock
  • Capital Structure
  • Capital Surplus
  • Capitalization
  • Capped Index Option
  • Capping
  • Carried Interest
  • Carrying Charge
  • Cash Account
  • Cash Assets Ratio
  • Cash Dividend
  • Cash Equivalent
  • Cash Flow
  • Cash Management Bill
  • Cash Settlement
  • Cashiering Department
  • Catastrophe Call
  • Certificate in Quantitative Finance
  • Certificate of Deposit (CD):
  • Certificates of Accrual on Treasury Securities
  • Certified Financial Planner
  • Change
  • Chartered Alternative Investment Analyst
  • chartered financial analyst – CFA
  • Chicago Board of Trade (CBOT)
  • Chicago Board Options Exchange (CBOE)
  • Chinese Wall
  • Churning
  • Class A Share
  • Class B Share
  • Class C Share
  • Class D share
  • Classical Economics
  • Clearing Firm
  • Clearinghouse
  • Close
  • Closed End Indenture
  • Closed end Investment Company
  • Closing Cross
  • Closing Date
  • Closing Purchase
  • Code of Arbitration Procedure
  • Code of Procedure
  • Coincident Indicator
  • Collateral
  • Collateral Trust Certificate
  • Collateralized Mortgage Obligation (CMO)
  • Collect on Delivery (COD)
  • Collection Ratio
  • Combination
  • Combination Fund
  • Combination Preferred Stock
  • Combination Privileges
  • Combined Account
  • Commercial Paper
  • Commingling
  • Commission
  • Commission House Broker
  • Common Stock
  • Common Stock Ratio
  • Competitive Bid Underwriting
  • Compliance Department
  • Concession
  • Conduit Theory
  • Confirmation
  • Consolidated Tape
  • Consolidation
  • Constant Dollar Plan
  • Constant Ratio Plan
  • Construction Loan Note
  • Constructive Receipt
  • Consumer Price Index (CPI)
  • Consumption
  • Contemporaneous Trader
  • Contingent Deferred Sales Charge
  • Contraction
  • Contractual Plan
  • Control
  • Control Person
  • Control Stock
  • Conversion Price
  • Conversion Privilege
  • Conversion Ratio
  • Convertible Bond
  • Convertible Preferred Stock
  • Cooling Off Period
  • Coordination
  • Corporate Account
  • Corporate Bond
  • Corporation
  • Correspondent Broker Dealer
  • Cost Basis
  • Cost Depletion
  • Cost of Carry
  • Coterminous
  • Coupon bond
  • Coupon Yield
  • Covenant
  • Covered Call
  • Covered Put
  • CPI
  • Credit Agreement
  • Credit Balance
  • Credit Department
  • Credit Risk
  • Credit Spread
  • Crossed market
  • Crossing Stock
  • Crossover Point
  • Cum Rights
  • Cumulative Preferred Stock
  • Cumulative Voting
  • Currency Risk
  • Current Assets
  • Current Liabilities
  • Current Market Value / Current Market Price CMV / CMP
  • Current Ratio
  • Current Yield
  • CUSIP
  • CUSIP number
  • Custodial Account
  • Custodian
  • Customer
  • Customer Agreement
  • Customer Ledger
  • Customer Protection Rule
  • Cyclical Industry
  • Daily Bond Buyer
  • Dated Date
  • Dealer
  • Dealer Paper
  • Debenture
  • Debit Balance
  • Debit Spread
  • Debt Securities
  • Debt Service
  • Debt Service Account
  • Debt Service Ratio
  • Debt to Equity ratio
  • Declaration Date
  • Deduction
  • Default
  • Default Risk
  • Defeasance
  • Defensive Industry
  • Deferred Annuity
  • Deferred Compensation Plan
  • Deficiency Letter
  • Defined Benefit Plan
  • Defined Contribution Plan
  • Deflation
  • Delivery Vs. Payment
  • Delta
  • Demand Deposit
  • Department of Enforcement
  • Depletion
  • Depreciation
  • Depreciation Expense
  • Depression
  • Derivative
  • Designated Market Maker/ DMM
  • Designated Order
  • Devaluation
  • Developmental Drilling Program
  • Developmental Fee
  • Diagonal Spread
  • Dilution
  • Direct Debt
  • Direct Paper
  • Direct Participation Program (DPP)
  • Discount
  • Discount Bond
  • Discount Rate
  • Discretion
  • Discretionary Account
  • Disintermediation
  • Disposable Income
  • Disproportional Allocation
  • Disproportionate Sharing
  • Distribution
  • Distribution Stage
  • Diversification
  • Diversified Fund / Diversified Management Company
  • Dividend
  • Dividend Department
  • Dividend Disbursement Agent
  • Dividend Payout Ratio
  • Dividend Valuation Model
  • Dividend Yield
  • DJIA
  • Do Not Reduce (DNR)
  • Doctrine of Mutual Reciprocity
  • Dollar Bonds
  • Dollar Cost Averaging
  • Dominated and Controlled Markets
  • Donor
  • Dont Know (DK)
  • Dow Jones Composite Average
  • Dow Jones Industrial Average
  • Dow Jones Transportation Average
  • Dow Jones Utility Average
  • Dow Theory
  • DPP Roll-UP Transactions
  • Dry Hole
  • Dual Purpose Fund
  • Early Withdraw Penalty
  • Earned Income
  • Earnings Per Share
  • Earnings Per Share Fully Diluted
  • Eastern Account
  • ECN / Electronic Communication Network
  • Economic Risk
  • EE Savings Bonds
  • Effective Date
  • Efficient Market Theory
  • Employee Retirement Income Security Act of 1974 (ERISA)
  • Endorsement
  • EPS
  • Equipment Leasing Limited Partnership
  • Equipment Trust Certificate
  • Equity Financing
  • Equity Option
  • ERISA
  • Erroneous Report
  • Escrow Agreement
  • ETFs that track alternatively weighted indices
  • Eurobond
  • Eurodollar
  • Eurodollar Bonds
  • Euroyen Bonds
  • Ex Date / Ex Dividend Date
  • Ex Rights
  • Ex Rights Date
  • Ex Warrants
  • Excess Equity (EE)
  • Exchange
  • Exchange Distribution
  • Exchange Privilege
  • Executor / Executrix
  • Exempt Security
  • Exempt Transaction
  • Exercise
  • Exercise Price
  • Existing Property Program
  • Expansion
  • Expansionary Policy
  • Expense Ratio
  • Expiation Date
  • Expiration Cycle
  • Exploratory Drilling Program
  • Exploratory Well
  • Face Amount / Face Value
  • Face Amount Certificate Company / FAC
  • Fail to Deliver
  • Fail to Receive
  • Fannie Mae
  • Farm Credit Administrator
  • Federal Deposit Insurance Corporation / FDIC
  • Federal Farm Credit System
  • Federal Funds Rate
  • Federal Home Loan Mortgage Corporation / Freddie Mac
  • Federal Intermediate Credit Bank
  • Federal Open Market Committee / FOMC
  • Federal Reserve Board
  • Federal Reserve System
  • Fictitious Quote
  • Fidelity Bond
  • Fill or Kill
  • Final Prospectus
  • Financial Risk Manager
  • FINRA
  • FINRA Rule on Financial Exploitation of Seniors
  • Firm Commitment Underwriting
  • Firm Quote
  • Fiscal Policy
  • Fixed Annuity
  • Fixed Assets
  • Flat
  • Floor Broker
  • Floor Trader
  • Flow of Funds
  • Forced Conversion
  • Foreign Currency
  • Foreign Currency Option
  • Foreign Service Officer Test
  • Form 10 K
  • Form 10Q
  • Form letter
  • Forward Contracts
  • Forward Pricing
  • Forward Rate Agreement
  • Fourth Market
  • Fractional Share
  • Fraud
  • Free Credit Balance
  • Free Look
  • Freeriding
  • Freeriding and Withholding
  • Front End Load
  • Frozen Account
  • Full Power of Attorney
  • Fully Registered Bonds
  • Functional Allocation
  • Fundamental Analyst
  • Funded Debt
  • Fungible
  • Futures Commission Merchant
  • General Account
  • General Obligation Bond
  • General Partner
  • General Securities Principal
  • Generic Advertising
  • Good Til Cancel (GTC)
  • Goodwill
  • Government Agricultural Programs
  • Government National Mortgage Association Ginnie Mae
  • Government Security
  • Grant Anticipation Note (GAN)
  • Green Shoe Option
  • Gross Domestic Product GDP
  • Gross Income
  • Gross Revenue Pledge
  • Group Net Order
  • Growth Fund
  • Growth Stock
  • Guardian
  • Halt in trading
  • Head and Shoulders chart pattern
  • Hedge
  • HH Bond
  • High
  • High Frequency and Algorithmic Trading
  • Hold in Street Name
  • Holder
  • Holding Period
  • Horizontal Spread
  • Hot Issue
  • HR 10 Plan
  • Hypothecation
  • Hypothecation Agreement
  • Immediate Annuity
  • Immediate Family
  • Immediate or Cancel (IOC)
  • In Part Call
  • In The Money
  • Income Bond
  • Income Fund
  • Income Program
  • Income Statement
  • Indefeasible Title
  • Index
  • Index Option
  • Indication of Interest
  • Individual Retirement Account
  • Industrial Development Bond
  • Inflation
  • Initial Margin Requirement
  • Initial Public Offering / IPO
  • Inside Information
  • Inside Market
  • Insider
  • Insider Trading and Securities Fraud Enforcement Act of 1988
  • INSTINET
  • Institutional Account
  • Institutional Investor
  • Insurance Covenant
  • Intangible Asset
  • Intangible Drilling Cost (IDC)
  • Inter Bank Market
  • Interest
  • Interest Rate Option
  • Interest Rate Risk
  • Interlocking Directorate
  • Intermarket Trading System / Computer Assisted Execution System (ITS/CAES)
  • Internal Revenue Code / IRC
  • Interpositioning
  • Interstate Offering
  • Intrastate Offering
  • Intrinsic Value
  • Introducing Broker
  • Inverted Yield Curve
  • Investment Adviser
  • Investment Advisers Act of 1940
  • Investment Banker
  • Investment Company
  • Investment Company Act of 1940
  • Investment Grade Security
  • Investment Objective
  • Investor
  • IRA Rollover
  • IRA Transfer
  • Issued Stock
  • Issuer
  • Joint Account
  • Joint tenants in common /JTIC
  • Joint Tenants with Rights of Survivorship / JTWROS
  • Joint Venture
  • Junk Bond
  • Junk Bond Fund
  • Keogh Plan
  • Keynesian Economics
  • Know Your Customer Rule
  • Lagging Indicator
  • Last in First Out LIFO
  • Leading Indicators
  • LEAPS / Long Term Equity Anticipation Securities
  • Lease Rental Bonds
  • Legal List
  • Legal Opinion
  • Legislative Risk
  • Letter of Intent
  • Level Load
  • Level One
  • Level Three
  • Level Two
  • Leverage
  • Liability
  • Life Annuity / Straight Life
  • Life Annuity with Period Certain
  • Life Contingency
  • Limit Order
  • Limit Up Limit Down Ciruit Breaker
  • Limited Liability
  • Limited Partner
  • Limited Partnership
  • Limited Partnership Agreement
  • Limited Power of Attorney/ Limited Trading Authorization
  • Limited Principal
  • Limited Representative
  • Limited Tax Bond
  • Liquidity
  • Liquidity Risk
  • Listed Option
  • Listed Security
  • Loan Consent Agreement
  • Locked Market
  • LOI
  • London Interbank Offered Rate /LIBOR
  • Long
  • Long Market Value
  • Long Term Gain
  • Long Term Loss
  • Loss Carry Forward
  • Low
  • M1
  • M2
  • M3
  • Maintenance Call
  • Maintenance Covenant
  • Major Market Index XMI
  • Maloney Act of 1938
  • Managed Underwriting
  • Management Company
  • Management fee
  • Managing Partner
  • Managing Underwriter
  • Margin
  • Margin Account
  • Margin Call
  • Margin Department
  • Margin Maintenance Call
  • Mark Down
  • Mark To The Market
  • Market Arbitrage
  • Market Letter
  • Market Maker
  • Market Not Held
  • Market On Close
  • Market On Open
  • Market Order
  • Market Out Clause
  • Market Risk / Systematic
  • Market Value
  • Marketability
  • Marking To The Market
  • Markup
  • Markup Policy
  • Material Information
  • Maturity Date
  • Member
  • Member Firm
  • Member Order
  • Mini Maxi Underwriting
  • Minimum Death Benefit
  • Minus Tick
  • Modern Portfolio Theory
  • Modified Accelerated Cost Recovery System (MACRS)
  • Monetarist Theory
  • Monetary Policy
  • Money Market
  • Money Market Mutual Fund
  • Money Supply
  • Moral Obligation Bond
  • Mortgage Bond
  • Multiplier Effect
  • Municipal Bond
  • Municipal Bond Fund
  • Municipal Bond Investors Assurance Corp. (MBIA)
  • Municipal Note
  • Municipal Securities Rule Making Board / MSRB
  • Munifiacts
  • Mutual Fund
  • Mutual Fund Custodian
  • Naked
  • Narrow Based Index
  • NASD / National Association of Securities Dealers
  • NASD Bylaws: Now FINRA bylaws
  • NASD Manual: Now FINRA Manual
  • National Securities Clearing Corporation/ NSCC
  • NAV Net Asset Value
  • Negotiability
  • Negotiable Certificate of Deposit
  • Net Capital
  • Net Change
  • Net Current Assets Per Share
  • Net Debt Per Capita
  • Net Debt to Assessed Valuation
  • Net Direct Debt
  • Net Interest Cost (NIC)
  • Net Investment Income
  • Net Revenue Pledge
  • Net Total Debt
  • Net Worth
  • New Account Form
  • New Construction Program
  • New Housing Authority
  • New Issue
  • New York Stock Exchange / NYSE
  • No Load Fund
  • Nominal Owner
  • Nominal Quote
  • Nominal Yield
  • Non traded REITS
  • Non-cumulative Preferred
  • Non-Diversification
  • Non-Diversified Management Company
  • Non-Fixed UIT
  • Noncompetitive Bid
  • Nondiscrimination
  • Nonqualified Retirement Plan
  • Nonsystematic Risk
  • NOOP
  • Not Held Order (NH)
  • Note
  • NOW / Negotiable Order of Withdrawal Account
  • Numbered Account
  • Odd Lot
  • Odd Lot Differential
  • Odd Lot theory
  • Offer
  • Offering Circular
  • Offering of Securities by FINRA Members
  • Office of Supervisory Jurisdiction (OSJ)
  • Office of the Comptroller of the Currency
  • Official Notice of Sale
  • Official Statement
  • Oil and Gas Direct Participation Program
  • Oil Depletion Allowance
  • Omnibus Account
  • Open End Covenant
  • Open End Investment Company
  • open trade equity
  • Opening Cross
  • Operational Red Flag
  • Option
  • Option Agreement
  • Option Clearing Corporation (OCC)
  • Option Disclosure Document
  • Order Book Official (OBO)
  • Order Department
  • Order Memorandum / Order Ticket
  • Original Issue discount (OID)
  • OTC / Over the Counter Market
  • Out of the Money
  • Outstanding Stock
  • Over Ridding Royalty Interest
  • Overlapping Debt
  • Par
  • Parity
  • Partial Call
  • Participation
  • Pass Through Certificate
  • Passive Income
  • Passive Loss
  • Payment Date
  • Payout Stage
  • Payroll Deduction Plan
  • Pension Plan
  • Percentage Depletion
  • Periodic Payment Plan
  • Person
  • Personal Income
  • Phantom Income
  • Philadelphia Automated Communication Execution System (PACE)
  • Piggybacking a Quote
  • Pink Sheets
  • Placement Ratio
  • Plus Tick
  • Point
  • POP / Public Offering Price
  • Portfolio Income
  • Portfolio Manager
  • Position
  • Power of Substitution
  • Preemptive Right
  • Preferred Stock
  • Preferred Stock Ratio
  • Preliminary Prospectus / Red Herring
  • Price Earnings Ratio (PE)
  • Price Spread
  • Primary Earnings Per Share
  • Prime Rate
  • Principal Transaction
  • Priority
  • Private Placement
  • Profit Sharing Plan
  • Progressive Tax
  • Project Note
  • Prospectus
  • Proxy
  • Proxy Department
  • Prudent Man Rule
  • Public Offering
  • Public Offering Price
  • Put
  • Put Buyer
  • Put Spread
  • Put Writer
  • Qualified Legal Opinion
  • Qualified Retirement Plan
  • Quick Assets
  • Quick Ratio
  • Quote
  • Range
  • Rate Covenant
  • Rating
  • Rating Service
  • Raw Land Program
  • Real Estate Investment Trust / REIT
  • Real Estate Limited Partnership
  • Realized Gain
  • Realized Loss
  • Reallowance
  • Reasonable Basis Suitability
  • Recapture
  • Recession
  • Reclamation
  • Record Date
  • Recourse Loan
  • Red Herring
  • Redeemable Security
  • Redemption
  • Registered
  • Registered as to Principal Only
  • Registered Options Principal (ROP)
  • Registered Principal
  • Registered Representative
  • Registrar
  • Registration Statement
  • Regressive Tax
  • Regular Way Settlement
  • Regulated Investment Company
  • Regulation A
  • Regulation D
  • Regulation G
  • Regulation T
  • Regulation U
  • Regulation X
  • Rehypothecation
  • REIT
  • Rejection
  • Reorganization Department
  • Repurchase Agreement (REPO)
  • Reserve Maintenance Fund
  • Reserve Requirement
  • Resistance
  • Restricted Account
  • Restricted Stock
  • Retained Earnings
  • Retention
  • Retention Requirement
  • Return on Equity
  • Return on Investment / ROI
  • Revenue Anticipation Note
  • Revenue bond
  • Reverse Repurchase Agreement
  • Reverse Split
  • Reversionary Working interest
  • Right
  • Rights Agent
  • Rights of Accumulation
  • Rights Offering
  • Riskless Simultaneous Transaction
  • Rollover
  • Round Lot
  • Rule 144
  • Rule 145
  • Rule 147
  • Rule 405
  • Sale
  • Sales Charge
  • Sales literature
  • Sales Load
  • Satellite Office
  • Savings Bond
  • Scale
  • Schedule 13D
  • Scheduled Premium Policy
  • SEC
  • Secondary Distribution
  • Secondary Market
  • Secondary Offering
  • Sector Fund
  • Securities Act Amendments of 1975
  • Securities Act of 1933
  • Securities Backed Lines of Credit
  • Securities Exchange Act of 1934
  • Securities Exchange Commission
  • Securities Investor Protection Corporation / SIPC
  • Security
  • Segregation
  • Self-Regulatory Organization / SRO
  • Sell
  • Sell Out
  • Sell Stop Order
  • Sellers Option
  • Selling Away
  • Selling Concession
  • Selling Dividends
  • Selling Group
  • Separate Account
  • Separate Trading of Registered Interest and Principal Securities / STRIPS
  • Serial Bonds
  • Series 11 Exam
  • Series 14 Exam
  • Series 17 Exam
  • Series 22 Exam
  • Series 23 Exam
  • Series 24 Exam
  • Series 26 Exam
  • Series 28 Exam
  • Series 31 Exam
  • Series 32 Exam
  • Series 37 Exam
  • Series 38 Exam
  • Series 39 Exam
  • Series 42 Exam
  • Series 51 Exam
  • Series 53 Exam
  • Series 55 Exam
  • Series 56 Exam
  • Series 6 Exam
  • Series 62 Exam
  • Series 63 Exam
  • Series 65 Exam
  • Series 66 Exam
  • Series 7 Exam
  • Series 79 Exam
  • Series 87 Exam
  • Series 99 Exam
  • Series EE Bond
  • Series HH Bond
  • Settlement
  • Settlement Date
  • Share Identification
  • Shareholders Equity
  • Shelf Offering
  • Short
  • Short Against The Box
  • Short Straddle
  • SIE Exam
  • Simplified Arbitration
  • Simplified Employee Pension Plan / SEP
  • Single Account
  • Single Stock Futures
  • Sinking Fund
  • Special Assessment Bond
  • Special Situation Fund
  • Special Tax Bond
  • Specialist Book
  • Specialist: also know as a designated market maker
  • Speculation
  • Split Offering
  • Spousal Account
  • Spread
  • Spread Load Plan
  • Stabilizing
  • Standby Underwriting
  • Statutory Disqualification
  • Statutory Voting
  • Stock Ahead
  • Stock Certificate
  • Stock or Bond Power
  • Stock Split
  • Stop Limit Order
  • Stop Order
  • Stopping Stock
  • Straddle
  • Straight Line Depreciation
  • Strangle
  • Stripped bond
  • Stripper Well
  • Structured Retail Products
  • Sub Chapter S Corporation
  • Subordinated Debenture
  • Subscription Agreement
  • Subscription Right
  • Suitability
  • Super Designated Order Turn Around System (SUPER DOT)
  • Super Display Book
  • Supervise
  • Supply and demand elasticity
  • Support
  • Surplus Fund
  • Syndicate
  • Systematic Risk
  • Take Down
  • Tax and Revenue Anticipation Note
  • Tax Anticipation Note (TAN)
  • Tax Deferred Annuity
  • Tax Equivalent Yield
  • Tax Exempt Bond Fund
  • Tax Liability
  • Tax Preference Item
  • Technical Analysis
  • Telephone Consumer Protection Act of 1991
  • Tenants in common
  • Tender Offer
  • Term Bond
  • Term Maturity
  • Tested On The SIE Exam
  • Testimonial
  • The Crush Spread
  • THE FIRM QUOTE COMPLIANCE SYSTEM
  • The North American Securities Administrators’ Association
  • The Securities Information Center
  • Third Market
  • Third Party Account
  • Threshold Securities
  • Time deposit
  • Time Value
  • Tombstone
  • Top Heavy Rule
  • Trade Confirmation
  • Trade Date
  • Tranche
  • Transfer Agent
  • Transfer and Hold in Safe Keeping
  • Transfer and Ship
  • Treasury Bill
  • Treasury Bond
  • Treasury Note
  • Treasury Receipt
  • Treasury Stock
  • Trend line
  • Trough
  • True Interest Cost (TIC)
  • Trust Indenture Act of 1939
  • Trustee
  • Two Dollar Broker
  • Type
  • Unconfirmed Trade
  • Uncovered
  • Underlying Security
  • Underwriting
  • Unearned Income
  • Uniform Delivery Ticket
  • Uniform Gift to Minors Act / UGMA
  • Uniform Practice Code
  • Uniform Securities Act / USA
  • Uniform Transfer to Minors Act / UTMA
  • Unit Investment Trust / UIT
  • Unit of Beneficial Interest
  • Unit Refund Annuity
  • Unqualified Legal Opinion
  • Unrealized
  • Variable Annuity
  • Variable Death Benefit
  • Variable Life Insurance
  • Variable Rate Municipal Security
  • Vertical Spread
  • Vesting
  • Visible Supply
  • Voluntary Accumulation Plan
  • Voting Right
  • Warrant
  • Wash Sale
  • Western Account
  • What is a Binary option?
  • When Issued Security
  • Wildcatting
  • Wire Room
  • Withdrawal Plan:
  • Workable Indication
  • Working Capital
  • Working Interest
  • Workout Quote
  • Writer
  • Writing The Scale
  • Yellow Sheets
  • Yield
  • Yield Based Option
  • Yield Curve
  • Yield to Call
  • Yield to Maturity
  • Zero Coupon Bond
  • Zero Minus Tick
  • Zero Plus Tick

Choose your exam

Series 3
Series 4
Series 6
Series 7
Series 9
Series 10
Series 22
Series 24
Series 26
Series 39
Series 57
Series 63
Series 65
Series 66
Series 99
SIE Exam
Quick Links
  • Series 3 Test Prep
  • Series 24 Exam Preparation
  • Series 26 Exam Prep
  • Series 57 Test Preparation
  • Exam Prep for Series 65
  • SIE Exam Prep
Series Exam Practice Questions
  • Series 3 Free Practice Questions
  • Series 7 Free Practice Questions
  • Free Practice Questions for Series 24
  • SIE Free Practice Questions
Blog Feed
  • Clearly Erroneous Transactions

    January 3, 2021
    FINRA has enacted rules to ensure that broker-dealers do not …
  • What Is FINRA RULE 3241

    December 4, 2020
    FINRA Rule 3241 is designed to address the potential conflicts …
Stay Connected

Contact Us
Phone: 877-218-1776
Email: web@securitiesce.com

Sales & Support

2021 © Securities CE, All Rights Reserved. Privacy Policy | Terms of Service. B2B Website Developed by SmartSites

  • Securities Exam Prep
    ▼
    • SIE Exam Prep
    • Series 3 Exam Prep
    • Series 4 Exam Prep
    • Series 6 Exam Prep
    • Series 6 and 63 Exam Prep
    • Series 7 Exam Prep
    • Series 7 and 63 Exam Prep
    • Series 7 and 66 Exam Prep
    • Series 9 Exam Prep
    • Series 9 and 10 Exam Prep
    • Series 10 Exam Prep
    • Series 22 Exam Prep
    • Series 24 Exam Prep
    • Series 26 Exam Prep
    • Series 39 Exam Prep
    • Series 57 Exam Prep
    • Series 63 Exam Prep
    • Series 65 Exam Prep
    • Series 66 Exam Prep
    • Series 99 Exam Prep
    • SIE and Series 6 Exam Prep
    • SIE and Series 7 Exam Prep
    • Video Classes
    • CFA Exam Prep
    • Interactive Online Exams
  • Continuing Education
    ▼
    • S101 Regulatory CE
    • S106 Regulatory CE
    • S201 Regulatory CE
    • S901 Regulatory CE
    • Insurance CE
    • Firm Element Solutions
  • Live
    ▼
    • Hold An On-Site Class
    • Private Tutoring
  • Free Stuff
    ▼
    • Free Coupon
    • Free Securities Training
  • Login
    ▼
    • Progress Track Online
  • About Us
  • Explore
    ▼
    • Securities Institute of America
    • Partner With Us
    • Contact Us
    • FAQ’s
    • Blog
    • Definitions
  • 877 218-1776