12b-1 Fee
401 (k) Plan
403(b) Plan
457 Plan
501(c)(3)
529 Plan
Accredited Investor
Accretion
Accrued Interest
Accumulation Account
Accumulation Period
Accumulation Unit
Acid Test Ratio
ACRS: Accelerated Cost Recovery System
Ad Valorem Tax
Additional Bonds Test
Additional Takedown
Adjustment Bond
Administrator
Advance Refunded Bonds
Advance Refunding
Advertisement
Advisory Fee
Affidavit of Domicile
Affiliate
Aftermarket
Agency
Agent
All-or-none (AON)
Alpha
Alternative Minimum Tax (AMT)
Ambac Indemnity Corporation (AMBAC)
American Depositary Receipt (ADR)
American Stock Exchange (AMEX)
Amortization
Annual Report
Annuitant
Annuitize
Annuity
Annuity Period
Annuity Unit
Anti-Money Laundering (AML) Rules
Arbitrage
Arbitration
Arrearage
Ascending Yield Curve
Assessed Valuation
Assets
Assignment
Associated Person
Assumed Interest Rate (AIR)
At-the-close Order
At-the-money
At-the-Opening Order
Auction Market
Authorized Shares
Average Life
Averages
Back-End Load
Backing Away
Balance Sheet
Balance Sheet Formula
Balanced Fund
Balanced Program
Balloon Maturity
Bank Guarantee Letter
Banker’s Acceptance (BA)
Bankruptcy
Banks for the Cooperatives
Basis
Basis Point
Bear
Bear Market
Bear Spread
Bearer Bond
Beneficial Owner
Best Efforts
Beta
Bid and Asked
Bid Form
Big Board
Blind Pool
Block
Blotter
Blue Chip Stock
Blue Sky Laws
Bond
Bond Anticipation Note (BAN)
Bond Buyer
Bond Counsel
Bond Equivalent Yield
Book Value
Book-Entry
Branch Office
Breakeven
Breakout
Breakpoint
Breakpoint Sales
Broker
Broker’s Broker
Broker’s Loan
Brokerage Account
Bull
Bull Market
Bull Spread
Business Cycle
Buy-In
Buying Power
Calendar Spread
Call
Call Loan
Call Price
Call Rate
Call Risk
Callable
Canadian Method
Cancel and Re-bill
Capital Asset Pricing Model (CAPM)
Capital Gain or Capital Loss
Capital Market
Capital Risk
Capital Surplus
Capitalization
Capitalize
Cash Account
Cash Asset Ratio
Cash Flow
Cash Management Bill
Cash On Delivery Transaction (COD)
Cash Trade/Settlement
Cashiering Department
Certificate
Certificate of Deposit (CD)
Chartist
Chicago Board Options Exchange (CBOE)
Churning
Class A Shares
Class B Shares
Class C Shares
Class of Options
Clearing
Clearing Corporations
Close-out
Closed-End Indenture
Closed-End Investment Company
Closing Transaction
Co-OpS
COD Transaction
Code Of Arbitration
Code of Procedure
Coincident Indicator
Cold Call Rule
Collateral
Collateral Trust Bond
Collateralized Mortgage Obligation (CMO)
Combination
Combined Offering
Commercial Paper
Commingling
Commission
Commission House Broker
Commodity Futures Contract
Common Stock
Competitive Issue
Competitive Trader
Complaint
Comptroller of the Currency
Concession
Conduct Rules
Conduit Theory
Confirmation
Consolidated Balance Sheet
Consolidated Quotation System (CQS)
Consolidated Tape
Constant Dollar Plan
Constant Yield Method
Construction Loan Note (CLN)
Consumer Price Index (CPI)
Contingent Deferred Sales Charge (CDSC)
Continuing Education
Contra Broker
Control Person
Control Relationship
Control Stock
Conversion Price
Conversion Ratio
Convertible Securities
Cooling-Off Period
Corporate Charter
Corporate Resolution
Corporation
Correspondence
Cost Basis
Coterminous Debt
Coupon Bond
Coupon Rate
Covenant
Coverage
Coverdell Education Savings Account (ESA)
Covered
Covering A Short Sale
Credit Agreement
Credit Balance (CR)
Credit Risk
Credit Spread
Creditor
Crowd
Crowding Out
Cumulative Preferred
Cumulative Voting
Currency And Monetary Instrument Transportation Reports (CMIRs)
Currency Transaction Reports (CTRs)
Current Assets
Current Liabilities
Current Ratio
Current Yield
CUSIP (Committee on Uniform Securities Identification Procedures)
Custodian
Custodian Account
Custodian Bank
Cycle
Cyclical Stock
Dated Date
Day Order
Dealer
Debenture
Debit Balance (DR)
Debit Spread
Debt
Debt Ceiling
Debt Limit
Debt Service
Debt Service Coverage Ratio
Debt to Equity Ratio
Declaration Date
Deduction
Deed of Trust
Deep Discount
Default
Default Risk
Defeasance
Defeased Bonds
Defense Company
Defensive Stock
Deferred Compensation Plan
Deficiency Letter
Defined Benefit Plan
Defined Contribution Plan
Deflation
Delayed Opening
Delivery
Delivery Versus Payment (DVP)
Demand Deposit
Depletion Accounting
Depository Trust Company (DTC)
Depreciation
Derivative
Descending Yield Curve
Designated Examining Authority (DEA)
Designated Order
Designated Order Turnaround (DOT)
Developmental Program
Diagonal Spread
Dilution
Direct Debt
Direct Participation Program (DPP)
Director
Disclosure Document
Discount
Discount Bond
Discount Rate
Discount Window
Discount Yield
Discretionary Account
Disinflation
Disintermediation
Disproportionate
Dissolution
Diversification
Diversified Investment Company
Divided Account
Dividend
Dividend Payout Ratio
Dividend Reinvestment
Dividend Yield
DK Notice
Do Not Reduce (DNR)
Do-Not-Call List
Dollar Bond
Dollar Cost Averaging
Dollar Price
DOT
Double-Barreled Bond
Dow Jones Industrial Average
Dow Theory
Downtick
DPP
Dual Listings
Dual-Purpose Fund
Due Bill
Due Diligence
Duration
Dutch Auction
Earned Income
Earnings Before Interest and Taxes (EBIT)
Earnings Per Share (EPS)
Earnings Recession
Earnings Report
Earnings Test
Eastern Account
Easy Money
Education IRA
Effective Date
Effective Yield
Efficient Frontier
Electronic Communication Network (ECNs)
Eleven Bond Index
Employee Stock Ownership Plan (ESOP)
Engineering Report
Equipment Trust Certificate
Equity
Equity Income Fund
ERISA
Erroneous Report Rule
Escrow
Escrow Receipt
Escrowed to Maturity (ETM)
Estate Tax
Euro
Eurodollar Bond
Ex-Dividend Date
Ex-Legal
Ex-Rights
Excess Equity
Exchange
Exchange Privilege
Exchange Rate
Exchange-Rate Risk
Exchange-Traded Fund (ETF)
Exempt Securities
Exempt Transaction
Exercise Price
Expense
Expiration Date
Exploratory Program
Face Value
Face-Amount Certificate Company
Fallen Angels
Family Of Funds
Fannie Mae
Feasibility study
Fed Funds (Federal Funds)
Fed Funds Rate
Federal Deposit Insurance Corporation (FDIC)
Federal Farm Credit System
Federal Financing Bank (FFB)
Federal Home Loan Banks (FHLB)
Federal Home Loan Mortgage Corporation (Freddie Mac)
Federal Housing Administration (FHA)
Federal Intermediate Credit Banks (FICB)
Federal Land Bank (FLB)
Federal National Mortgage Association (FNMA)
Federal Open Market Committee (FOMC)
Federal Reserve Board
Fidelity Bond
Fiduciary
FIFO
Filing Date
Financial Advisory Relationship
Financial Futures
Financial Guaranty Insurance Company (FGIC)
Financial Industry Regulatory Authority (FINRA)
Financial Leverage
Finder
Firm Commitment
Firm Element
Firm Quote
First-In, First-Out (FIFO)
Fiscal Policy
Fitch’s Rating Service
Five Percent (5%) Markup Policy
Fixed Annuity
Fixed Assets
Fixed Charges
Flat
Float
Floater
Floor
Floor Broker
Flow Of Funds
Forced Conversion
Form U4
Form U5
Forward Pricing
Fourth Market
Freddie Mac
Freeriding
Front-end Load
Frontrunning
Frozen Account
Full Faith And Credit
Fully Diluted Earnings Per Share
Functional Allocation
Fundamental Analysis
Funded Debt
Futures
General Account
General Obligation Bond (GO)
General Partner
Gift Rule
Gift Tax
Ginnie Mae
Good Delivery
Good Faith Deposit
Good-Till-Canceled Order (GTC)
Government Bonds
Government National Mortgage Association (GNMA or Ginnie Mae)
Government Sponsored Agency
Grant Anticipation Note
Green Shoe
Gross Domestic Product (GDP)
Gross National Product (GNP)
Group Order
Growth Stock
Guaranteed
Guardian
Head And Shoulders
Hearing Officer
Hedging
High-Yield Bonds
Holder
Holding Company
Holding Period
Horizontal Spread
Hypothecation
Immediate Family Member
In-The-Money
Inactive
Income Bond
Income Fund
Income Program
Income Statement
Income Stock
Indenture
Independant Broker
Independent Broker
Index
Index Fund
Index Option
Indication of Interest
Indicators
Individual Account
Individual Retirement Account (IRA)
Industrial Development Revenue Bond (IDR)
Inflation
Inflation Risk
Information Barrier
Inheritance Tax Waiver
Initial Public Offering (IPO)
Inside Market
Insider
Insider Trading
Institutional Investor
Insured Bonds
Intangible Assets
Intangible Drilling Costs
Interbank Market
Interest
Interest Only (IO) Securities
Interest-Rate Options
Interest-Rate Risk
Interpositioning
Intrastate Offering
Intrinsic Value
Inverted Yield Curve
Investment
Investment Adviser (IA)
Investment Advisers Act of 1940
Investment Banker
Investment Company
Investment Company Act of 1940
Investment Counsel
Investment Grade
Investment Income
Investment Letter
IRA
IRA Rollover
IRA Transfer
Issue
Issued Shares
Issuer
Jawboning
Joint Tenants (JT)
Junk Bond
Keogh Plan (HR-10 Plan)
Keynesian Economics
Know Your Customer Rule
Lagging Economic Indicator
Last-In, First-Out (LIFO)
Leading Economic Indicator
LEAPS (Long-Term Equity Anticipation Securities)
Legal List
Legal Opinion
Legislative Risk
Letter Of Intent (LOI)
Letter of Notification
Letter Stock
Letters Testamentary
Level Debt Service
Level I, II, and III
Leveraged Buyout (LBO)
Liabilities
LIFO
Limit Order, Limited Order, or Limited Price Order
Limited Liability
Limited Partner
Limited Partnership
Limited Tax Bond
Liquidation
Liquidity
Liquidity Risk
Listed Stock
Load
Loan Consent
Loan Value
London Interbank Offered Rate
Long
Long Coupon
Long-Term Liabilities
Loose Credit
M1
M2
MACRS
Maintenance
Maloney Act Of 1938
Management Company
Management Fee
Manager’s Fee
Managing Underwriter
Manipulation
Margin
Margin Account
Margin Agreement
Margin Call
Margin Department
Mark Down
Mark To Market
Mark Up
Market Maker
Market Momentum
Market Neutral
Market Order
Market Price
Market Risk
Married Put
Matched Sale
Material Information
Maturity
Member Firm
Member Order
Merger
Mill
Mini-Maxi Offering
Minimum Maintenance Requirement
Modern Portfolio Theory
Monetary Policy
Money Market
Money Spread
Money Supply
Money-Market Fund
Moody’s
Moral Obligation Bond
Moral Suasion
Mortgage Bond
Mortgage-Backed Security
Multiplier
Municipal Bond
Municipal Bond Investors Assurance Corporation (MBIA)
Municipal Securities Rulemaking Board (MSRB)
Municipal Underwritings
Mutual Fund
Naked
NASD
Nasdaq
Nasdaq Capital Market Security
Nasdaq Market Center Execution System
National Adjudicatory Council (NAC)
National Global Market (NGM)
Negative Yield Curve
Negotiable Security
Negotiated Issues
Net Asset Value (NAV)
Net Change
Net Direct Debt
Net Income
Net Interest Cost (NIC)
Net Worth
Net Yield
New Account Form
New Housing Authority (NHA)
New Housing Authority Bonds (PHA)
New Issue
New York Stock Exchange (NYSE)
No-Load Fund
Nominal Owner
Nominal Quote
Nominal Yield
Non-managed Fee Based Account (NMFBA)
Nonaccredited
Noncompetitive Tender
Noncumulative
Nonexempt Securities
Nonissuer
Nonqualified Annuity
Nonrecourse Loan
Normal Yield Curve
Not-Held Order
Notes
Notice of Sale
NYSE Common Stock Index
Odd Lot
Odd-Lot Theory
Off-Board
Offer
Offering Circular
Office of Supervisory Jurisdiction (OSJ)
Official Statement
Oil Depletion Allowance
Omitting Prospectus
Open Market Committee
Open Order
Open-End Indenture
Open-End Investment Company
Opening Transaction
Operating Income
Opportunity Cost
Option
Option Series
Options Clearing Corporation (OCC)
Order Book Official (OBO)
Order Room
Order Ticket
Ordinary Income
Original Issue Discount (OID)
Out-of-the-Money
Outlay Cost
Outstanding Stock
Over-The-Counter (OTC)
Overbought
Overlapping Debt
Overriding Royalty Interest
Oversold
Paid-In Surplus
Painting The Tape
Paper Profit (Loss)
Par Value
Parity
Participating Preferred
Partnership
Pass-Through Securities
Passed Dividend
Passive Income
Payment for Order Flow
Payout Option
Pegging
Penalty Bid
Penny Stocks
Period Certain
Personal Property
Pink Sheets
Placement Ratio
Planned Amortization Class (PAC)
Point
Political Risk
POP
Portfolio
Portfolio Income
Position Limit
Positive Sloping Yield Curve
Power of Attorney
Preemptive Right
Preferred Stock
Preliminary Prospectus
Premium
Prepayment Risk
Prerefunded
Presale Order
Price Spread
Price-Earnings Ratio (P/E)
Primary Dealer
Primary Distribution
Prime Rate
Principal
Principal Only (PO) Securities
Priority
Private Activity Bonds
Private Placement
Private Securities Transaction
Proceeds Transaction
Production
Profit Taking
Profit-Sharing Plan
Progressive Tax
Proprietorship
Prospectus
Protective Put
Proxy
Proxy Statement
Prudent Man Rule
PSA Model
Public Housing Authority Bonds (PHA)
Public Offering
Public Offering Price (POP)
Purchase And Sales Department (P & S)
Purchaser Representative
Purchasing-Power Risk
Put
Put Bond
Pyramiding
Qualified Institutional Buyer (QIB)
Qualified Legal Opinion
Qualified Plan
Quick Asset Ratio
Quick Assets
Quote
Rally
Random Walk
Regular-Way Settlement
Regulation D
Reversionary Working Interest
Rights
Rule 147
Rule 405
Safekeeping
Sales Charge
Sales Literature
Sales Proceeds
Sallie Mae
Same Side of The Market
SAR
Savings Bonds
Scale
Seasonal Stock
Secondary Distribution
Secondary Market
Secondary Offering
Section 529 Plan
Section 8 Program
Secured Bond
Securities Act of 1933
Securities And Exchange Commission (SEC)
Securities Exchange Act of 1934
Securities Investor Protection Corporation (SIPC)
Security
Segregation
Self-Regulatory Organization (SRO)
Sell Out
Seller’s Option
Selling Away
Selling Dividends
Selling Group
Senior Securities
SEP
Separate Account
Serial Bonds
Series EE Bond
Series of Options
Settlement
Sharing Arrangement
Shelf Registration
Short Coupon
Short Interest
Short Position
Short Sale
Short-Swing Profit
Simultaneous Transaction
Sinking Fund
Size
Skip Day
Small Business Administration (SBA)
Special Assessment Bond
Special Memorandum Account (SMA)
Special Tax Bond
Specialist
Specialized Fund
Speculation
Speculator
Sponsor
Spot Price
Spread
Spread Option
Stabilization
Stagflation
Standard & Poor’s 500 Index (S&P 500)
Standard and Poor’s (S&P)
Standby Underwriting
Statement
Statutory Disqualification
Statutory Voting
Step-Down Certificate of Deposit
Step-Up Certificate of Deposit
Stock Ahead
Stock Dividend
Stock Exchange
Stock Power
Stock Split
Stock Symbols
Stockholder
Stockholder of Record
Stockholders’ Equity
Stop Order
Stop-Limit Order
Stopping Stock
Straddle
Straight Life Annuity
Straight-Line
Street Name
Strike Price
STRIP
Student Loan Marketing Association (SLMA)
Subject Quote
Subordinate
Subscription
Subscription Agreement:
Suitability
Super Dot:
SuperMontage
Supply-Side Economics
Support
Suspicious Activity Report (SAR)
Swapping
Switching
Syndicate
Syndicate Letter
Systematic Risk
Takedown
Tape
Targeted Amortization Class (TAC)
Tax Anticipation Note (TAN)
Tax Credit
Tax Preference Item
Tax Shelter
Tax-Exempt Commercial Paper
Taxable Equivalent Yield
Technical Analysis
Telephone Consumer Protection Act of 1991
Tenants-In-Common
Tender
Tender Offer
Term Bonds
Third Market
Ticker
Tight Credit
Tight Money