Definitions Archive | Securities CE

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 National Mortgage Association / Fannie Mae
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 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
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
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 AdministratorsÕ 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
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
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

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