• 12b-1 Fee

  Few readers

• 401 (k) Plan

  Few readers

• 403(b) Plan

  Few readers

• 457 Plan

  Some readers

• 501(c)(3)

  Some readers

• 529 Plan

  Few readers

• Accredited Investor

  Few readers

• Accretion

  Few readers

• Accrued Interest

  Few readers

• Accumulation Account

  Few readers

• Accumulation Period

  Few readers

• Accumulation Unit

  Few readers

• Acid Test Ratio

  Few readers

• ACRS: Accelerated Cost Recovery System

  Few readers

• Ad Valorem Tax

  Few readers

• Additional Bonds Test

  Some readers

• Additional Takedown

  Few readers

• Adjustment Bond

  Few readers

• Administrator

  Some readers

• Advance Refunded Bonds

  Few readers

• Advance Refunding

  Some readers

• Advertisement

  Few readers

• Advisory Fee

  Some readers

• Affidavit of Domicile

  Some readers

• Affiliate

  Few readers

• Aftermarket

  Few readers

• Agency

  Few readers

• Agent

  Few readers

• All-or-none (AON)

  Few readers

• Alpha

  Few readers

• Alternative Minimum Tax (AMT)

  Some readers

• Ambac Indemnity Corporation (AMBAC)

  Few readers

• American Depositary Receipt (ADR)

  Few readers

• American Stock Exchange (AMEX)

  Few readers

• Amortization

  Few readers

• Annual Report

  Few readers

• Annuitant

  Few readers

• Annuitize

  Some readers

• Annuity

  Some readers

• Annuity Period

  Some readers

• Annuity Unit

  Few readers

• Anti-Money Laundering (AML) Rules

  Some readers

• Arbitrage

  Few readers

• Arbitration

  Few readers

• Arrearage

  Few readers

• Ascending Yield Curve

  Few readers

• Assessed Valuation

  Few readers

• Assets

  Few readers

• Assignment

  Few readers

• Associated Person

  Few readers

• Assumed Interest Rate (AIR)

  Few readers

• At-the-close Order

  Few readers

• At-the-money

  Few readers

• At-the-Opening Order

  Few readers

• Auction Market

  Few readers

• Authorized Shares

  Few readers

• Average Life

  Few readers

• Averages

  Few readers

• Back-End Load

  Few readers

• Backing Away

  Some readers

• Balance Sheet

  Few readers

• Balance Sheet Formula

  Few readers

• Balanced Fund

  Few readers

• Balanced Program

  Few readers

• Balloon Maturity

  Few readers

• Bank Guarantee Letter

  Some readers

• Banker’s Acceptance (BA)

  Few readers

• Bankruptcy

  Few readers

• Banks for the Cooperatives

  Few readers

• Basis

  Few readers

• Basis Point

  Few readers

• Bear

  Few readers

• Bear Market

  Few readers

• Bear Spread

  Few readers

• Bearer Bond

  Few readers

• Beneficial Owner

  Few readers

• Best Efforts

  Some readers

• Beta

  Few readers

• Bid and Asked

  Few readers

• Bid Form

  Few readers

• Big Board

  Few readers

• Blind Pool

  Few readers

• Block

  Few readers

• Blotter

  Few readers

• Blue Chip Stock

  Few readers

• Blue Sky Laws

  Few readers

• Bond

  Few readers

• Bond Anticipation Note (BAN)

  Few readers

• Bond Buyer

  Few readers

• Bond Counsel

  Few readers

• Bond Equivalent Yield

  Few readers

• Book Value

  Few readers

• Book-Entry

  Few readers

• Branch Office

  Few readers

• Breakeven

  Some readers

• Breakout

  Few readers

• Breakpoint

  Few readers

• Breakpoint Sales

  Few readers

• Broker

  Few readers

• Broker’s Broker

  Few readers

• Broker’s Loan

  Few readers

• Brokerage Account

  Few readers

• Bull

  Few readers

• Bull Market

  Few readers

• Bull Spread

  Few readers

• Business Cycle

  Some readers

• Buy-In

  Few readers

• Buying Power

  Few readers

• Calendar Spread

  Few readers

• Call

  Few readers

• Call Loan

  Few readers

• Call Price

  Few readers

• Call Rate

  Few readers

• Call Risk

  Few readers

• Callable

  Few readers

• Canadian Method

  Few readers

• Cancel and Re-bill

  Few readers

• Capital Asset Pricing Model (CAPM)

  Few readers

• Capital Gain or Capital Loss

  Few readers

• Capital Market

  Few readers

• Capital Risk

  Few readers

• Capital Surplus

  Few readers

• Capitalization

  Few readers

• Capitalize

  Few readers

• Cash Account

  Few readers

• Cash Asset Ratio

  Few readers

• Cash Flow

  Few readers

• Cash Management Bill

  Few readers

• Cash On Delivery Transaction (COD)

  Few readers

• Cash Trade/Settlement

  Few readers

• Cashiering Department

  Few readers

• Certificate

  Few readers

• Certificate of Deposit (CD)

  Few readers

• Chartist

  Few readers

• Chicago Board Options Exchange (CBOE)

  Few readers

• Churning

  Few readers

• Class A Shares

  Few readers

• Class B Shares

  Few readers

• Class C Shares

  Few readers

• Class of Options

  Few readers

• Clearing

  Few readers

• Clearing Corporations

  Some readers

• Close-out

  Few readers

• Closed-End Indenture

  Few readers

• Closed-End Investment Company

  Few readers

• Closing Transaction

  Few readers

• Co-OpS

  Few readers

• COD Transaction

  Few readers

• Code Of Arbitration

  Few readers

• Code of Procedure

  Few readers

• Coincident Indicator

  Few readers

• Cold Call Rule

  Few readers

• Collateral

  Few readers

• Collateral Trust Bond

  Few readers

• Collateralized Mortgage Obligation (CMO)

  Few readers

• Combination

  Few readers

• Combined Offering

  Few readers

• Commercial Paper

  Few readers

• Commingling

  Few readers

• Commission

  Few readers

• Commission House Broker

  Few readers

• Commodity Futures Contract

  Few readers

• Common Stock

  Few readers

• Competitive Issue

  Few readers

• Competitive Trader

  Few readers

• Complaint

  Few readers

• Comptroller of the Currency

  Few readers

• Concession

  Few readers

• Conduct Rules

  Few readers

• Conduit Theory

  Few readers

• Confirmation

  Few readers

• Consolidated Balance Sheet

  Few readers

• Consolidated Quotation System (CQS)

  Few readers

• Consolidated Tape

  Few readers

• Constant Dollar Plan

  Few readers

• Constant Yield Method

  Few readers

• Construction Loan Note (CLN)

  Few readers

• Consumer Price Index (CPI)

  Some readers

• Contingent Deferred Sales Charge (CDSC)

  Few readers

• Continuing Education

  Few readers

• Contra Broker

  Few readers

• Control Person

  Few readers

• Control Relationship

  Few readers

• Control Stock

  Some readers

• Conversion Price

  Few readers

• Conversion Ratio

  Few readers

• Convertible Securities

  Few readers

• Cooling-Off Period

  Few readers

• Corporate Charter

  Few readers

• Corporate Resolution

  Some readers

• Corporation

  Few readers

• Correspondence

  Few readers

• Cost Basis

  Few readers

• Coterminous Debt

  Few readers

• Coupon Bond

  Few readers

• Coupon Rate

  Few readers

• Covenant

  Few readers

• Coverage

  Some readers

• Coverdell Education Savings Account (ESA)

  Few readers

• Covered

  Few readers

• Covering A Short Sale

  Few readers

• Credit Agreement

  Few readers

• Credit Balance (CR)

  Few readers

• Credit Risk

  Few readers

• Credit Spread

  Few readers

• Creditor

  Few readers

• Crowd

  Few readers

• Crowding Out

  Few readers

• Cumulative Preferred

  Few readers

• Cumulative Voting

  Few readers

• Currency And Monetary Instrument Transportation Reports (CMIRs)

  Few readers

• Currency Transaction Reports (CTRs)

  Few readers

• Current Assets

  Few readers

• Current Liabilities

  Few readers

• Current Ratio

  Few readers

• Current Yield

  Few readers

• CUSIP (Committee on Uniform Securities Identification Procedures)

  Few readers

• Custodian

  Few readers

• Custodian Account

  Few readers

• Custodian Bank

  Few readers

• Cycle

  Few readers

• Cyclical Stock

  Few readers

• Dated Date

  Few readers

• Day Order

  Few readers

• Dealer

  Some readers

• Debenture

  Few readers

• Debit Balance (DR)

  Some readers

• Debit Spread

  Few readers

• Debt

  Few readers

• Debt Ceiling

  Few readers

• Debt Limit

  Few readers

• Debt Service

  Few readers

• Debt Service Coverage Ratio

  Few readers

• Debt to Equity Ratio

  Some readers

• Declaration Date

  Few readers

• Deduction

  Few readers

• Deed of Trust

  Few readers

• Deep Discount

  Few readers

• Default

  Few readers

• Default Risk

  Few readers

• Defeasance

  Few readers

• Defeased Bonds

  Few readers

• Defense Company

  Few readers

• Defensive Stock

  Few readers

• Deferred Compensation Plan

  Few readers

• Deficiency Letter

  Few readers

• Defined Benefit Plan

  Few readers

• Defined Contribution Plan

  Some readers

• Deflation

  Few readers

• Delayed Opening

  Few readers

• Delivery

  Few readers

• Delivery Versus Payment (DVP)

  Few readers

• Demand Deposit

  Few readers

• Depletion Accounting

  Few readers

• Depository Trust Company (DTC)

  Few readers

• Depreciation

  Few readers

• Derivative

  Few readers

• Descending Yield Curve

  Few readers

• Designated Examining Authority (DEA)

  Few readers

• Designated Order

  Few readers

• Designated Order Turnaround (DOT)

  Few readers

• Developmental Program

  Few readers

• Diagonal Spread

  Few readers

• Dilution

  Few readers

• Direct Debt

  Few readers

• Direct Participation Program (DPP)

  Some readers

• Director

  Few readers

• Disclosure Document

  Few readers

• Discount

  Some readers

• Discount Bond

  Few readers

• Discount Rate

  Few readers

• Discount Window

  Few readers

• Discount Yield

  Few readers

• Discretionary Account

  Few readers

• Disinflation

  Few readers

• Disintermediation

  Few readers

• Disproportionate

  Few readers

• Dissolution

  Few readers

• Diversification

  Few readers

• Diversified Investment Company

  Few readers

• Divided Account

  Few readers

• Dividend

  Few readers

• Dividend Payout Ratio

  Few readers

• Dividend Reinvestment

  Few readers

• Dividend Yield

  Few readers

• DK Notice

  Some readers

• Do Not Reduce (DNR)

  Few readers

• Do-Not-Call List

  Few readers

• Dollar Bond

  Few readers

• Dollar Cost Averaging

  Few readers

• Dollar Price

  Few readers

• DOT

  Few readers

• Double-Barreled Bond

  Few readers

• Dow Jones Industrial Average

  Few readers

• Dow Theory

  Few readers

• Downtick

  Few readers

• DPP

  Few readers

• Dual Listings

  Few readers

• Dual-Purpose Fund

  Few readers

• Due Bill

  Few readers

• Due Diligence

  Few readers

• Duration

  Few readers

• Dutch Auction

  Few readers

• Earned Income

  Few readers

• Earnings Before Interest and Taxes (EBIT)

  Few readers

• Earnings Per Share (EPS)

  Few readers

• Earnings Recession

  Few readers

• Earnings Report

  Few readers

• Earnings Test

  Few readers

• Eastern Account

  Few readers

• Easy Money

  Few readers

• Education IRA

  Few readers

• Effective Date

  Few readers

• Effective Yield

  Few readers

• Efficient Frontier

  Few readers

• Electronic Communication Network (ECNs)

  Few readers

• Eleven Bond Index

  Few readers

• Employee Stock Ownership Plan (ESOP)

  Few readers

• Engineering Report

  Few readers

• Equipment Trust Certificate

  Few readers

• Equity

  Few readers

• Equity Income Fund

  Few readers

• ERISA

  Few readers

• Erroneous Report Rule

  Few readers

• Escrow

  Few readers

• Escrow Receipt

  Few readers

• Escrowed to Maturity (ETM)

  Few readers

• Estate Tax

  Few readers

• Euro

  Few readers

• Eurodollar Bond

  Few readers

• Ex-Dividend Date

  Few readers

• Ex-Legal

  Few readers

• Ex-Rights

  Few readers

• Excess Equity

  Few readers

• Exchange

  Few readers

• Exchange Privilege

  Few readers

• Exchange Rate

  Few readers

• Exchange-Rate Risk

  Few readers

• Exchange-Traded Fund (ETF)

  Few readers

• Exempt Securities

  Few readers

• Exempt Transaction

  Few readers

• Exercise Price

  Few readers

• Expense

  Few readers

• Expiration Date

  Some readers

• Exploratory Program

  Few readers

• Face Value

  Few readers

• Face-Amount Certificate Company

  Few readers

• Fallen Angels

  Few readers

• Family Of Funds

  Few readers

• Fannie Mae

  Few readers

• Feasibility study

  Few readers

• Fed Funds (Federal Funds)

  Few readers

• Fed Funds Rate

  Few readers

• Federal Deposit Insurance Corporation (FDIC)

  Some readers

• Federal Farm Credit System

  Few readers

• Federal Financing Bank (FFB)

  Few readers

• Federal Home Loan Banks (FHLB)

  Few readers

• Federal Home Loan Mortgage Corporation (Freddie Mac)

  Few readers

• Federal Housing Administration (FHA)

  Few readers

• Federal Intermediate Credit Banks (FICB)

  Few readers

• Federal Land Bank (FLB)

  Few readers

• Federal National Mortgage Association (FNMA)

  Few readers

• Federal Open Market Committee (FOMC)

  Few readers

• Federal Reserve Board

  Few readers

• Fidelity Bond

  Few readers

• Fiduciary

  Few readers

• FIFO

  Few readers

• Filing Date

  Few readers

• Financial Advisory Relationship

  Few readers

• Financial Futures

  Few readers

• Financial Guaranty Insurance Company (FGIC)

  Few readers

• Financial Industry Regulatory Authority (FINRA)

  Few readers

• Financial Leverage

  Few readers

• Finder

  Few readers

• Firm Commitment

  Few readers

• Firm Element

  Few readers

• Firm Quote

  Few readers

• First-In, First-Out (FIFO)

  Few readers

• Fiscal Policy

  Few readers

• Fitch’s Rating Service

  Few readers

• Five Percent (5%) Markup Policy

  Few readers

• Fixed Annuity

  Few readers

• Fixed Assets

  Few readers

• Fixed Charges

  Few readers

• Flat

  Few readers

• Float

  Few readers

• Floater

  Few readers

• Floor

  Few readers

• Floor Broker

  Few readers

• Flow Of Funds

  Few readers

• Forced Conversion

  Few readers

• Form U4

  Few readers

• Form U5

  Few readers

• Forward Pricing

  Few readers

• Fourth Market

  Few readers

• Freddie Mac

  Few readers

• Freeriding

  Few readers

• Front-end Load

  Few readers

• Frontrunning

  Few readers

• Frozen Account

  Few readers

• Full Faith And Credit

  Few readers

• Fully Diluted Earnings Per Share

  Few readers

• Functional Allocation

  Few readers

• Fundamental Analysis

  Few readers

• Funded Debt

  Few readers

• Futures

  Few readers

• General Account

  Few readers

• General Obligation Bond (GO)

  Few readers

• General Partner

  Few readers

• Gift Rule

  Few readers

• Gift Tax

  Few readers

• Ginnie Mae

  Few readers

• Good Delivery

  Few readers

• Good Faith Deposit

  Few readers

• Good-Till-Canceled Order (GTC)

  Few readers

• Government Bonds

  Few readers

• Government National Mortgage Association (GNMA or Ginnie Mae)

  Few readers

• Government Sponsored Agency

  Few readers

• Grant Anticipation Note

  Few readers

• Green Shoe

  Few readers

• Gross Domestic Product (GDP)

  Few readers

• Gross National Product (GNP)

  Few readers

• Group Order

  Few readers

• Growth Stock

  Few readers

• Guaranteed

  Few readers

• Guardian

  Few readers

• Head And Shoulders

  Few readers

• Hearing Officer

  Few readers

• Hedging

  Few readers

• High-Yield Bonds

  Few readers

• Holder

  Few readers

• Holding Company

  Few readers

• Holding Period

  Few readers

• Horizontal Spread

  Few readers

• Hypothecation

  Few readers

• Immediate Family Member

  Few readers

• In-The-Money

  Few readers

• Inactive

  Few readers

• Income Bond

  Few readers

• Income Fund

  Few readers

• Income Program

  Few readers

• Income Statement

  Few readers

• Income Stock

  Few readers

• Indenture

  Few readers

• Independant Broker

  Few readers

• Independent Broker

  Few readers

• Index

  Few readers

• Index Fund

  Few readers

• Index Option

  Few readers

• Indication of Interest

  Few readers

• Indicators

  Few readers

• Individual Account

  Few readers

• Individual Retirement Account (IRA)

  Few readers

• Industrial Development Revenue Bond (IDR)

  Few readers

• Inflation

  Few readers

• Inflation Risk

  Few readers

• Information Barrier

  Few readers

• Inheritance Tax Waiver

  Few readers

• Initial Public Offering (IPO)

  Some readers

• Inside Market

  Few readers

• Insider

  Few readers

• Insider Trading

  Few readers

• Institutional Investor

  Few readers

• Insured Bonds

  Few readers

• Intangible Assets

  Few readers

• Intangible Drilling Costs

  Few readers

• Interbank Market

  Few readers

• Interest

  Few readers

• Interest Only (IO) Securities

  Few readers

• Interest-Rate Options

  Few readers

• Interest-Rate Risk

  Few readers

• Interpositioning

  Few readers

• Intrastate Offering

  Few readers

• Intrinsic Value

  Few readers

• Inverted Yield Curve

  Few readers

• Investment

  Few readers

• Investment Adviser (IA)

  Few readers

• Investment Advisers Act of 1940

  Few readers

• Investment Banker

  Few readers

• Investment Company

  Few readers

• Investment Company Act of 1940

  Few readers

• Investment Counsel

  Few readers

• Investment Grade

  Few readers

• Investment Income

  Few readers

• Investment Letter

  Few readers

• IRA

  Few readers

• IRA Rollover

  Few readers

• IRA Transfer

  Few readers

• Issue

  Few readers

• Issued Shares

  Few readers

• Issuer

  Few readers

• Jawboning

  Few readers

• Joint Tenants (JT)

  Few readers

• Junk Bond

  Few readers

• Keogh Plan (HR-10 Plan)

  Few readers

• Keynesian Economics

  Few readers

• Know Your Customer Rule

  Few readers

• Lagging Economic Indicator

  Few readers

• Last-In, First-Out (LIFO)

  Few readers

• Leading Economic Indicator

  Few readers

• LEAPS (Long-Term Equity Anticipation Securities)

  Few readers

• Legal List

  Few readers

• Legal Opinion

  Few readers

• Legislative Risk

  Few readers

• Letter Of Intent (LOI)

  Some readers

• Letter of Notification

  Few readers

• Letter Stock

  Few readers

• Letters Testamentary

  Few readers

• Level Debt Service

  Few readers

• Level I, II, and III

  Few readers

• Leveraged Buyout (LBO)

  Few readers

• Liabilities

  Few readers

• LIFO

  Few readers

• Limit Order, Limited Order, or Limited Price Order

  Few readers

• Limited Liability

  Few readers

• Limited Partner

  Few readers

• Limited Partnership

  Few readers

• Limited Tax Bond

  Few readers

• Liquidation

  Few readers

• Liquidity

  Few readers

• Liquidity Risk

  Few readers

• Listed Stock

  Few readers

• Load

  Few readers

• Loan Consent

  Few readers

• Loan Value

  Some readers

• London Interbank Offered Rate

  Few readers

• Long

  Few readers

• Long Coupon

  Few readers

• Long-Term Liabilities

  Few readers

• Loose Credit

  Few readers

• M1

  Few readers

• M2

  Few readers

• MACRS

  Few readers

• Maintenance

  Few readers

• Maloney Act Of 1938

  Few readers

• Management Company

  Few readers

• Management Fee

  Few readers

• Manager’s Fee

  Few readers

• Managing Underwriter

  Few readers

• Manipulation

  Few readers

• Margin

  Few readers

• Margin Account

  Few readers

• Margin Agreement

  Few readers

• Margin Call

  Few readers

• Margin Department

  Some readers

• Mark Down

  Few readers

• Mark To Market

  Few readers

• Mark Up

  Few readers

• Market Maker

  Some readers

• Market Momentum

  Few readers

• Market Neutral

  Few readers

• Market Order

  Few readers

• Market Price

  Few readers

• Market Risk

  Few readers

• Married Put

  Few readers

• Matched Sale

  Few readers

• Material Information

  Few readers

• Maturity

  Few readers

• Member Firm

  Few readers

• Member Order

  Few readers

• Merger

  Few readers

• Mill

  Few readers

• Mini-Maxi Offering

  Few readers

• Minimum Maintenance Requirement

  Few readers

• Modern Portfolio Theory

  Few readers

• Monetary Policy

  Few readers

• Money Market

  Few readers

• Money Spread

  Few readers

• Money Supply

  Few readers

• Money-Market Fund

  Few readers

• Moody’s

  Few readers

• Moral Obligation Bond

  Few readers

• Moral Suasion

  Few readers

• Mortgage Bond

  Few readers

• Mortgage-Backed Security

  Few readers

• Multiplier

  Few readers

• Municipal Bond

  Few readers

• Municipal Bond Investors Assurance Corporation (MBIA)

  Few readers

• Municipal Securities Rulemaking Board (MSRB)

  Few readers

• Municipal Underwritings

  Few readers

• Mutual Fund

  Few readers

• Naked

  Few readers

• NASD

  Few readers

• Nasdaq

  Few readers

• Nasdaq Capital Market Security

  Few readers

• Nasdaq Market Center Execution System

  Few readers

• National Adjudicatory Council (NAC)

  Few readers

• National Global Market (NGM)

  Few readers

• Negative Yield Curve

  Few readers

• Negotiable Security

  Few readers

• Negotiated Issues

  Few readers

• Net Asset Value (NAV)

  Few readers

• Net Change

  Few readers

• Net Direct Debt

  Few readers

• Net Income

  Few readers

• Net Interest Cost (NIC)

  Few readers

• Net Worth

  Few readers

• Net Yield

  Few readers

• New Account Form

  Some readers

• New Housing Authority (NHA)

  Few readers

• New Housing Authority Bonds (PHA)

  Few readers

• New Issue

  Few readers

• New York Stock Exchange (NYSE)

  Few readers

• No-Load Fund

  Few readers

• Nominal Owner

  Few readers

• Nominal Quote

  Few readers

• Nominal Yield

  Few readers

• Non-managed Fee Based Account (NMFBA)

  Few readers

• Nonaccredited

  Few readers

• Noncompetitive Tender

  Few readers

• Noncumulative

  Few readers

• Nonexempt Securities

  Few readers

• Nonissuer

  Few readers

• Nonqualified Annuity

  Few readers

• Nonrecourse Loan

  Few readers

• Normal Yield Curve

  Few readers

• Not-Held Order

  Few readers

• Notes

  Few readers

• Notice of Sale

  Few readers

• NYSE Common Stock Index

  Few readers

• Odd Lot

  Few readers

• Odd-Lot Theory

  Few readers

• Off-Board

  Few readers

• Offer

  Few readers

• Offering Circular

  Few readers

• Office of Supervisory Jurisdiction (OSJ)

  Few readers

• Official Statement

  Few readers

• Oil Depletion Allowance

  Few readers

• Omitting Prospectus

  Few readers

• Open Market Committee

  Few readers

• Open Order

  Few readers

• Open-End Indenture

  Few readers

• Open-End Investment Company

  Few readers

• Opening Transaction

  Few readers

• Operating Income

  Few readers

• Opportunity Cost

  Few readers

• Option

  Few readers

• Option Series

  Few readers

• Options Clearing Corporation (OCC)

  Few readers

• Order Book Official (OBO)

  Few readers

• Order Room

  Few readers

• Order Ticket

  Few readers

• Ordinary Income

  Few readers

• Original Issue Discount (OID)

  Few readers

• Out-of-the-Money

  Few readers

• Outlay Cost

  Few readers

• Outstanding Stock

  Few readers

• Over-The-Counter (OTC)

  Few readers

• Overbought

  Few readers

• Overlapping Debt

  Few readers

• Overriding Royalty Interest

  Few readers

• Oversold

  Few readers

• Paid-In Surplus

  Few readers

• Painting The Tape

  Few readers

• Paper Profit (Loss)

  Few readers

• Par Value

  Few readers

• Parity

  Few readers

• Participating Preferred

  Few readers

• Partnership

  Few readers

• Pass-Through Securities

  Few readers

• Passed Dividend

  Few readers

• Passive Income

  Few readers

• Payment for Order Flow

  Few readers

• Payout Option

  Few readers

• Pegging

  Few readers

• Penalty Bid

  Few readers

• Penny Stocks

  Few readers

• Period Certain

  Few readers

• Personal Property

  Few readers

• Pink Sheets

  Few readers

• Placement Ratio

  Few readers

• Planned Amortization Class (PAC)

  Few readers

• Point

  Few readers

• Political Risk

  Few readers

• POP

  Few readers

• Portfolio

  Few readers

• Portfolio Income

  Few readers

• Position Limit

  Few readers

• Positive Sloping Yield Curve

  Few readers

• Power of Attorney

  Few readers

• Preemptive Right

  Few readers

• Preferred Stock

  Few readers

• Preliminary Prospectus

  Few readers

• Premium

  Few readers

• Prepayment Risk

  Few readers

• Prerefunded

  Few readers

• Presale Order

  Few readers

• Price Spread

  Few readers

• Price-Earnings Ratio (P/E)

  Few readers

• Primary Dealer

  Few readers

• Primary Distribution

  Few readers

• Prime Rate

  Few readers

• Principal

  Few readers

• Principal Only (PO) Securities

  Few readers

• Priority

  Few readers

• Private Activity Bonds

  Few readers

• Private Placement

  Few readers

• Private Securities Transaction

  Few readers

• Proceeds Transaction

  Few readers

• Production

  Few readers

• Profit Taking

  Few readers

• Profit-Sharing Plan

  Few readers

• Progressive Tax

  Few readers

• Proprietorship

  Few readers

• Prospectus

  Few readers

• Protective Put

  Few readers

• Proxy

  Few readers

• Proxy Statement

  Few readers

• Prudent Man Rule

  Few readers

• PSA Model

  Few readers

• Public Housing Authority Bonds (PHA)

  Few readers

• Public Offering

  Few readers

• Public Offering Price (POP)

  Few readers

• Purchase And Sales Department (P & S)

  Few readers

• Purchaser Representative

  Few readers

• Purchasing-Power Risk

  Few readers

• Put

  Few readers

• Put Bond

  Few readers

• Pyramiding

  Few readers

• Qualified Institutional Buyer (QIB)

  Few readers

• Qualified Legal Opinion

  Few readers

• Qualified Plan

  Few readers

• Quick Asset Ratio

  Few readers

• Quick Assets

  Few readers

• Quote

  Few readers

• Rally

  Few readers

• Random Walk

  Few readers

• Regular-Way Settlement

  Few readers

• Regulation D

  Few readers

• Reversionary Working Interest

  Few readers

• Rights

  Few readers

• Rule 147

  Few readers

• Rule 405

  Few readers

• Safekeeping

  Few readers

• Sales Charge

  Few readers

• Sales Literature

  Some readers

• Sales Proceeds

  Few readers

• Sallie Mae

  Few readers

• Same Side of The Market

  Few readers

• SAR

  Few readers

• Savings Bonds

  Few readers

• Scale

  Few readers

• Seasonal Stock

  Few readers

• Secondary Distribution

  Few readers

• Secondary Market

  Few readers

• Secondary Offering

  Few readers

• Section 529 Plan

  Few readers

• Section 8 Program

  Few readers

• Secured Bond

  Few readers

• Securities Act of 1933

  Few readers

• Securities And Exchange Commission (SEC)

  Few readers

• Securities Exchange Act of 1934

  Few readers

• Securities Investor Protection Corporation (SIPC)

  Few readers

• Security

  Few readers

• Segregation

  Few readers

• Self-Regulatory Organization (SRO)

  Few readers

• Sell Out

  Few readers

• Seller’s Option

  Few readers

• Selling Away

  Few readers

• Selling Dividends

  Few readers

• Selling Group

  Few readers

• Senior Securities

  Few readers

• SEP

  Few readers

• Separate Account

  Few readers

• Serial Bonds

  Few readers

• Series EE Bond

  Few readers

• Series of Options

  Few readers

• Settlement

  Few readers

• Sharing Arrangement

  Few readers

• Shelf Registration

  Few readers

• Short Coupon

  Few readers

• Short Interest

  Few readers

• Short Position

  Few readers

• Short Sale

  Few readers

• Short-Swing Profit

  Few readers

• Simultaneous Transaction

  Few readers

• Sinking Fund

  Few readers

• Size

  Few readers

• Skip Day

  Few readers

• Small Business Administration (SBA)

  Few readers

• Special Assessment Bond

  Few readers

• Special Memorandum Account (SMA)

  Few readers

• Special Tax Bond

  Few readers

• Specialist

  Few readers

• Specialized Fund

  Few readers

• Speculation

  Few readers

• Speculator

  Few readers

• Sponsor

  Few readers

• Spot Price

  Few readers

• Spread

  Few readers

• Spread Option

  Few readers

• Stabilization

  Few readers

• Stagflation

  Few readers

• Standard & Poor’s 500 Index (S&P 500)

  Few readers

• Standard and Poor’s (S&P)

  Few readers

• Standby Underwriting

  Few readers

• Statement

  Few readers

• Statutory Disqualification

  Few readers

• Statutory Voting

  Few readers

• Step-Down Certificate of Deposit

  Some readers

• Step-Up Certificate of Deposit

  Few readers

• Stock Ahead

  Few readers

• Stock Dividend

  Few readers

• Stock Exchange

  Few readers

• Stock Power

  Few readers

• Stock Split

  Few readers

• Stock Symbols

  Few readers

• Stockholder

  Few readers

• Stockholder of Record

  Few readers

• Stockholders’ Equity

  Few readers

• Stop Order

  Few readers

• Stop-Limit Order

  Few readers

• Stopping Stock

  Few readers

• Straddle

  Few readers

• Straight Life Annuity

  Few readers

• Straight-Line

  Few readers

• Street Name

  Few readers

• Strike Price

  Few readers

• STRIP

  Few readers

• Student Loan Marketing Association (SLMA)

  Few readers

• Subject Quote

  Few readers

• Subordinate

  Few readers

• Subscription

  Few readers

• Subscription Agreement:

  Few readers

• Suitability

  Few readers

• Super Dot:

  Few readers

• SuperMontage

  Few readers

• Supply-Side Economics

  Few readers

• Support

  Few readers

• Suspicious Activity Report (SAR)

  Few readers

• Swapping

  Few readers

• Switching

  Few readers

• Syndicate

  Few readers

• Syndicate Letter

  Few readers

• Systematic Risk

  Few readers

• Takedown

  Few readers

• Tape

  Few readers

• Targeted Amortization Class (TAC)

  Few readers

• Tax Anticipation Note (TAN)

  Few readers

• Tax Credit

  Few readers

• Tax Preference Item

  Few readers

• Tax Shelter

  Few readers

• Tax-Exempt Commercial Paper

  Few readers

• Taxable Equivalent Yield

  Few readers

• Technical Analysis

  Few readers

• Telephone Consumer Protection Act of 1991

  Few readers

• Tenants-In-Common

  Few readers

• Tender

  Few readers

• Tender Offer

  Few readers

• Term Bonds

  Few readers

• Third Market

  Few readers

• Ticker

  Few readers

• Tight Credit

  Few readers

• Tight Money

  Few readers

• Time Deposit

  Few readers

• Time Spread

  Few readers

• Time Value

  Few readers

• Tip

  Few readers

• Tombstone Ad

  Few readers

• Trade Date

  Few readers

• Trade Reporting Facility (TRF)

  Few readers

• Trader

  Few readers

• Trading Authorization

  Few readers

• Trading Floor

  Few readers

• Trading Post

  Few readers

• Tranche

  Few readers

• Transfer

  Few readers

• Transfer Agent

  Few readers

• Treasury Bills (T-Bills)

  Some readers

• Treasury Bonds

  Few readers

• Treasury Notes

  Few readers

• Treasury Receipt

  Few readers

• Treasury Stock

  Few readers

• Treasury STRIP (T-STRIP)

  Few readers

• Triple Net Lease

  Few readers

• Triple-Tax Exempt

  Few readers

• True Interest Cost (TIC)

  Few readers

• Trust

  Few readers

• Trust Indenture

  Few readers

• Trust Indenture Act Of 1939

  Few readers

• Trustee

  Few readers

• Twenty Bond Index (TBI)

  Few readers

• Two-Dollar Broker

  Some readers

• Type of Opion

  Few readers

• Uncovered

  Few readers

• Underwriter

  Few readers

• Underwriting

  Few readers

• Underwriting Spread

  Few readers

• Undisclosed Account

  Few readers

• Undivided Account

  Few readers

• Unfunded Pension Liabilities

  Few readers

• Uniform Gifts To Minors Act (UGMA)

  Few readers

• Uniform Practice Code

  Few readers

• Uniform Transfers To Minors Act (UTMA)

  Few readers

• Unit Investment Trust

  Few readers

• Unlisted Stock

  Few readers

• Unsecured Bond

  Few readers

• Uptick

  Few readers

• Variable Annuity

  Few readers

• Variable Rate Demand Obligation

  Few readers

• Vertical Spread

  Few readers

• Vesting

  Few readers

• Veterans Administration (VA) Mortgage

  Few readers

• Visible Supply

  Few readers

• Volatility

  Few readers

• Volume

  Few readers

• Voting Right

  Few readers

• Warrant

  Few readers

• Warrants

  Few readers

• Wash Sale

  Some readers

• Western Account

  Few readers

• When Issued (Wl)

  Few readers

• Wildcatting

  Few readers

• Wire Room

  Few readers

• Withholding

  Few readers

• Working Capital

  Few readers

• Working Control

  Few readers

• Working Interest

  Few readers

• Workout

  Few readers

• Writer

  Few readers

• Yankee Bond

  Few readers

• Yellow Sheets

  Few readers

• Yield

  Few readers

• Yield To Call (YTC)

  Few readers

• Yield to Maturity (YTM)

  Few readers

• Yield to Worst

  Few readers

• Yield-Based Options

  Few readers

• Z-Tranche

  Few readers

• Zero-Coupon Bonds

  Few readers

• Zero-Plus Tick

  Few readers