• New Housing Authority Bonds (PHA)

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• New Issue

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• New York Stock Exchange (NYSE)

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• No-Load Fund

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• Nominal Owner

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• Nominal Quote

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• Nominal Yield

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• Non-managed Fee Based Account (NMFBA)

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• Nonaccredited

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• Noncompetitive Tender

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• Noncumulative

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• Nonexempt Securities

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• Nonissuer

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• Nonqualified Annuity

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• Nonrecourse Loan

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• Normal Yield Curve

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• Not-Held Order

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• Notes

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• Notice of Sale

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• NYSE Common Stock Index

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• Odd Lot

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• Odd-Lot Theory

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• Off-Board

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• Offer

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• Offering Circular

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• Office of Supervisory Jurisdiction (OSJ)

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• Official Statement

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• Oil Depletion Allowance

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• Omitting Prospectus

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• Open Market Committee

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• Open Order

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• Open-End Indenture

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• Open-End Investment Company

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• Opening Transaction

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• Operating Income

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• Opportunity Cost

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• Option

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• Option Series

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• Options Clearing Corporation (OCC)

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• Order Book Official (OBO)

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• Order Room

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• Order Ticket

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• Ordinary Income

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• Original Issue Discount (OID)

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• Out-of-the-Money

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• Outlay Cost

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• Outstanding Stock

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• Over-The-Counter (OTC)

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• Overbought

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• Overlapping Debt

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• Overriding Royalty Interest

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• Oversold

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• Paid-In Surplus

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• Painting The Tape

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• Paper Profit (Loss)

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• Par Value

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• Parity

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• Participating Preferred

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• Partnership

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• Pass-Through Securities

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• Passed Dividend

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• Passive Income

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• Payment for Order Flow

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• Payout Option

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• Pegging

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• Penalty Bid

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• Penny Stocks

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• Period Certain

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• Personal Property

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• Pink Sheets

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• Placement Ratio

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• Planned Amortization Class (PAC)

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• Point

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• Political Risk

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• POP

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• Portfolio

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• Portfolio Income

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• Position Limit

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• Positive Sloping Yield Curve

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• Power of Attorney

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• Preemptive Right

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• Preferred Stock

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• Preliminary Prospectus

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• Premium

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• Prepayment Risk

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• Prerefunded

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• Presale Order

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• Price Spread

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• Price-Earnings Ratio (P/E)

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• Primary Dealer

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• Primary Distribution

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• Prime Rate

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• Principal

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• Principal Only (PO) Securities

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• Priority

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• Private Activity Bonds

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• Private Placement

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• Private Securities Transaction

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• Proceeds Transaction

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• Production

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• Profit Taking

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• Profit-Sharing Plan

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• Progressive Tax

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• Proprietorship

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• Prospectus

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• Protective Put

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• Proxy

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• Proxy Statement

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• Prudent Man Rule

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• PSA Model

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• Public Housing Authority Bonds (PHA)

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• Public Offering

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• Public Offering Price (POP)

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• Purchase And Sales Department (P & S)

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• Purchaser Representative

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• Purchasing-Power Risk

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• Put

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• Put Bond

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• Pyramiding

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• Qualified Institutional Buyer (QIB)

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• Qualified Legal Opinion

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• Qualified Plan

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• Quick Asset Ratio

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• Quick Assets

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• Quote

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• Rally

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• Random Walk

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• Regular-Way Settlement

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• Regulation D

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• Reversionary Working Interest

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• Rights

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• Rule 147

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• Rule 405

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• Safekeeping

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• Sales Charge

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• Sales Literature

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• Sales Proceeds

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• Sallie Mae

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• Same Side of The Market

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• SAR

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• Savings Bonds

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• Scale

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• Seasonal Stock

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• Secondary Distribution

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• Secondary Market

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• Secondary Offering

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• Section 529 Plan

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• Section 8 Program

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• Secured Bond

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• Securities Act of 1933

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• Securities And Exchange Commission (SEC)

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• Securities Exchange Act of 1934

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• Securities Investor Protection Corporation (SIPC)

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• Security

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• Segregation

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• Self-Regulatory Organization (SRO)

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• Sell Out

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• Seller’s Option

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• Selling Away

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• Selling Dividends

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• Selling Group

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• Senior Securities

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• SEP

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• Separate Account

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• Serial Bonds

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• Series EE Bond

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• Series of Options

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• Settlement

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• Sharing Arrangement

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• Shelf Registration

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• Short Coupon

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• Short Interest

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• Short Position

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• Short Sale

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• Short-Swing Profit

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• Simultaneous Transaction

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• Sinking Fund

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• Size

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• Skip Day

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• Small Business Administration (SBA)

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• Special Assessment Bond

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• Special Memorandum Account (SMA)

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• Special Tax Bond

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• Specialist

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• Specialized Fund

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• Speculation

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• Speculator

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• Sponsor

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• Spot Price

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• Spread

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• Spread Option

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• Stabilization

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• Stagflation

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

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• Standard and Poor’s (S&P)

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• Standby Underwriting

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• Statement

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• Statutory Disqualification

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• Statutory Voting

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• Step-Down Certificate of Deposit

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