• 12b-1 Fee

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• 401 (k) Plan

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• 403(b) Plan

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• 457 Plan

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• 501(c)(3)

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• 529 Plan

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• Accredited Investor

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• Accretion

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• Accrued Interest

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• Accumulation Account

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• Accumulation Period

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• Accumulation Unit

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• Acid Test Ratio

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• ACRS: Accelerated Cost Recovery System

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• Ad Valorem Tax

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• Additional Bonds Test

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• Additional Takedown

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• Adjustment Bond

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• Administrator

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• Advance Refunded Bonds

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• Advance Refunding

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• Advertisement

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• Advisory Fee

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• Affidavit of Domicile

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• Affiliate

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• Aftermarket

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• Agency

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• Agent

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• All-or-none (AON)

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• Alpha

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• Alternative Minimum Tax (AMT)

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• Ambac Indemnity Corporation (AMBAC)

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• American Depositary Receipt (ADR)

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• American Stock Exchange (AMEX)

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• Amortization

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• Annual Report

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• Annuitant

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• Annuitize

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• Annuity

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• Annuity Period

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• Annuity Unit

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• Anti-Money Laundering (AML) Rules

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• Arbitrage

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• Arbitration

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• Arrearage

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• Ascending Yield Curve

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• Assessed Valuation

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• Assets

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• Assignment

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• Associated Person

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• Assumed Interest Rate (AIR)

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• At-the-close Order

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• At-the-money

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• At-the-Opening Order

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• Auction Market

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• Authorized Shares

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• Average Life

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• Averages

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• Back-End Load

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• Backing Away

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• Balance Sheet

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• Balance Sheet Formula

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• Balanced Fund

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• Balanced Program

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• Balloon Maturity

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• Bank Guarantee Letter

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• Banker’s Acceptance (BA)

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• Bankruptcy

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• Banks for the Cooperatives

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• Basis

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• Basis Point

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• Bear

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• Bear Market

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• Bear Spread

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• Bearer Bond

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• Beneficial Owner

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• Best Efforts

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• Beta

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• Bid and Asked

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• Bid Form

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• Big Board

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• Blind Pool

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• Block

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• Blotter

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• Blue Chip Stock

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• Blue Sky Laws

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• Bond

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• Bond Anticipation Note (BAN)

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• Bond Buyer

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• Bond Counsel

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• Bond Equivalent Yield

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• Book Value

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• Book-Entry

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• Branch Office

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• Breakeven

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• Breakout

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• Breakpoint

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• Breakpoint Sales

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• Broker

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• Broker’s Broker

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• Broker’s Loan

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• Brokerage Account

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• Bull

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• Bull Market

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• Bull Spread

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• Business Cycle

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• Buy-In

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• Calendar Spread

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• Call

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• Call Loan

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• Call Risk

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• Callable

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• Canadian Method

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• Cancel and Re-bill

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• Capital Asset Pricing Model (CAPM)

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• Capital Gain or Capital Loss

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• Capital Market

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• Capital Surplus

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• Capitalization

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• Cash Account

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• Cash Asset Ratio

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• Cash Flow

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• Cash Management Bill

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• Cash On Delivery Transaction (COD)

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• Cash Trade/Settlement

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• Cashiering Department

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• Certificate

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• Certificate of Deposit (CD)

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• Chartist

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• Chicago Board Options Exchange (CBOE)

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• Churning

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• Class A Shares

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• Class B Shares

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• Class C Shares

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• Class of Options

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• Clearing

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• Clearing Corporations

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• Close-out

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• Closed-End Indenture

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• Closed-End Investment Company

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• Closing Transaction

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• Co-OpS

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• COD Transaction

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• Code Of Arbitration

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• Code of Procedure

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• Coincident Indicator

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• Cold Call Rule

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• Collateral

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• Collateral Trust Bond

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• Collateralized Mortgage Obligation (CMO)

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• Combination

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• Combined Offering

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• Commercial Paper

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• Commingling

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• Commission

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• Commission House Broker

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• Commodity Futures Contract

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• Common Stock

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• Competitive Issue

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• Competitive Trader

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• Complaint

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• Comptroller of the Currency

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• Concession

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• Conduct Rules

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• Conduit Theory

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• Confirmation

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• Consolidated Balance Sheet

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• Consolidated Quotation System (CQS)

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• Consolidated Tape

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• Constant Dollar Plan

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• Constant Yield Method

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• Construction Loan Note (CLN)

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• Consumer Price Index (CPI)

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• Contingent Deferred Sales Charge (CDSC)

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• Continuing Education

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• Contra Broker

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• Control Person

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• Control Relationship

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• Control Stock

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• Conversion Price

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• Convertible Securities

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• Cooling-Off Period

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• Corporate Charter

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• Corporate Resolution

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• Corporation

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• Correspondence

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• Cost Basis

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• Coterminous Debt

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• Coupon Bond

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• Coupon Rate

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• Covenant

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• Coverage

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• Coverdell Education Savings Account (ESA)

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• Covered

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