Investing Terms and Definitions


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1099-B
1099-DIV
12b-1 fee
12b-1 mutual fund
48-hour rule
500 investor rule
500 shareholder threshold
52-week high
52-week low
A-B trust
AAA
abandonment value
abnormal return
above ground risk
above par
absentee landlord
absolute interest
absolute performance standard
absolute priority rule
absolute title
abstract of title
abusive tax shelter
ABX index
AC-DC option
accelerated amortization
accelerated benefits
accelerated option
acceleration clause
acceleration life insurance
acceleration principle
acceptance of office by trustee
accepting risk
accommodative monetary policy
account in trust
account type
accountabilities
accounting rate of return (ARR)
accredited investor
accreted value
accretion
accrued benefits
accrued dividend
accrued interest
accumulated depreciation
accumulated dividend
accumulated value
accumulating shares
accumulation option
accumulation unit
acid test ratio
acquisition accounting
acquisition adjustment
active bond crowd
active investor
active partner
active return
active stocks
active trust
actual investment
actuals
additional paid-in capital
adjustable rate mortgage fund
adjustable rate preferred (ARP) stock
adjusted basis value
adjusted book value
adjusted book value method
adjusted cost base (ACB)
adjusted gross income
adjusted net asset method
admission board
ADR
advance refunding
advance-decline (A-D) ratio
advance/decline line (A/D or AD)
adventure capitalist
adviser
advisory management
affidavit of loss
affiliated group
after tax return on assets
after tax return on sales
after the bell
after-tax basis
after-tax real rate of return
aftermarket report
agency theory
aggressive
aggressive growth fund
aggressive investment strategy
all cash, all stock offer
allotment letter
alternative delivery procedure
amenities
American Association Of Individual Investors (AAII)
American Depository Receipt (ADR)
American Depository Shares (ADS)
American Municipal Bond Assurance Corporation (AMBAC)
American option
American shares
American Stock Exchange (AMEX)
amortizing swap
amount realized
amplitude
analyst
analyst expectation
and interest
angel investor
announcement effect
annual basis
annual percentage rate (APR)
annual percentage yield (APY)
annual return
annualize
annualized income
annualized return
annually renewable term policy
annuity
annuity certain
annuity consideration
annuity contract
annuity date
annuity in advance
annuity in arrears
anti-greenmail provision
anti-martingale system
antidilution clause
appraisal approach
appraisal method
appraisal procedure
appraisal right
appraisal value
appreciated asset
appreciation
approved participants
appurtenance
arbitrage bond
arbitrage pricing theory (APT)
arbitrageur
archipelago
area pattern
Arms index
ascending trend channel
ascending triangle
Asian currency unit (ACU)
Asian funds
Asiandollar
ask
ask size
assessable profit
assessable security
assessed value
assessment
asset
asset acquisition strategy
asset allocation
asset allocation fund
asset approach
asset availability
asset class
asset coverage
asset deficiency
asset earning power
asset liability management
asset management
asset management account
asset mix
asset protection
asset protection trust (APT)
asset rationalization
asset specificity
asset stripping
asset turnover ratio
asset valuation
asset value per share
asset-based approach
asset-liability matching
assets under management
assimilation
associate company
at a discount
at best
at limit
at risk rule
at-the-close order
at-the-opening order
atlantic spread
attestation
auction rate bond
aunt Millie
Australian Dollar (AU $)
authorized capital
authorized share capital
authorized stock
Automated Bond System (ABS)
automated customer account transfer service (ACATS)
automated stock trading
automatic investment plan
automatic reinvestment plan
automatic transfer of funds
automatic withdrawal
autonomous investment
available asset
available earnings
average annual growth rate (AAGR)
average annual return (AAR)
average annual total return
average annual yield
average current assets
average daily balance (ADB)
average daily volume
average down
average fixed assets
average maturity
average price
average price per share
average rate of return
average total assets
average up
averaging
away from the market order
B trust
baby bond
back months
back-end load
back-loaded
backdoor listing
badwill
balanced fund
balanced investment strategy
balanced mutual fund
Banking Act of 1933
barbell-shaped portfolio
bare trust
Barone Adesi & Whaley Model
basic earnings power
basic financial statements
basis point
basis risk
basis trading
basket
bear
bear market
bear raid
bear spread
bear squeeze
Bear Stearns
bear trap
bearer bond
bearer security
bearer share
bed and breakfast deal
bell curve
bell-shaped-curve portfolio
bellwether stock
below market interest rate
below par
benchmark interest rate
beneficial interest
beneficial owner
beneficial ownership
beneficiary
benefit of survivorship
benefit principle
benefits received rule
Bermuda option
best and final offer (BAFO)
best ask
best bid
best efforts
best endeavors
best of two option
bid and asked
bid size
bid-ask quote
bilateral investment treaty
bill market
BIMBO
binomial tree
black box trading
Black Mondays
Black Scholes option-pricing model
Black Thursday
Black Tuesday
Black Wednesday
blind trust
block trade
blockage discount
Bloomberg
blue chip
blue sky scheme
body of knowledge (BOK)
Bollinger Bands
bond
bond action
bond anticipation note (BAN)
bond bank
bond classification
bond covenant
bond discount
bond equivalent yield (BEY)
bond fund
bond indenture
bond market
Bond Market Association (BMA)
bond power
bond premium
bond purchase agreement
bond quote
bond rating agencies
bond ratings
bond ratio
bond swap
bond violation
bond warrant
bond year
bond yield
bondholder
bonus issue
book building
book entry security
boomlet
borrowed capital
Boston Stock Exchange (BSE)
bottom fisher
bottom fishing
bottom-up investing
bought deal
box spread
break price
breakaway gap
breakeven
breakeven analysis
breakeven graph
breakeven period
breakeven point
breakeven stop-loss
breakeven yield
breakout
broad-based index
broadening formation
broker dealer
brokered deposits
brokered market
bubble
bubble company
Budapest Stock Exchange (BSE)
Buffett, Warren
bull spread
bull trap
bulldog bond
bullet bond
bulletin board stock
bullion
bullion coins
bullion market
bund
burn and churn
burn-out
business angel
Business Development Company (BDC)
business risk
butterfly spread
buttonwood agreement
buy and hold
buy and write
buy limit order
buy on margin
buy stop order
buy the book
buy to cover
buy-side analyst
buy-write
buyer's guide
buyer's option
buyers/sellers on balance
buying on margin
bypass trust
calculated intangible value (CIV)
calendar effect
calendar spread
call
call deposit account
call loan rate
call money
call money market
call money rate
call option
call premium
call price
call privilege
call provision
call risk
callable bond
called bond
called up share capital
calls in arrears
Calvo clause
CAMELS rating
Canadian Dollar (CAN $ or CND)
cancel
candlestick chart
cap
capital adequacy
capital allowance
capital appreciation fund
capital asset
capital asset pricing model (CAPM)
capital budget
capital control
capital decay
capital employed
capital expenditure (CAPEX)
capital formation
capital gain
capital gain (loss) holding period
capital gains distribution
capital gains tax
capital growth
capital improvement
capital instrument
capital intensity
capital intensive
capital investment
capital investment analysis
capital investment factors
capital item
capital loss
capital maintenance
capital market
capital market theories
capital project
capital recovery
capital reduction
capital requirements
capital reserve
capital risk
capital stock
capital structure arbitrage
capital surplus
capitalization factor
capitalization of earnings method
capitalization of interest
capitalization of profits
capitalization rate
capitalization ratios
capitalization table
capitulation
captive fund
carried interest
carrying amount
carrying cost
cash and carry
cash available to invest
cash balance plan (CBP)
cash collateral
cash contract
cash dividend
cash equity
cash neutral
cash payback period
cash plus convertible
cash refund annuity
cash settlement
cash surrender value (CSV)
cash-on-cash return
cashout
casualty
catastrophe bond
catastrophe equity put option
catastrophe swap
Central Registration Depository (CRD)
certainty equivalent
certificate of deposit (CD)
certificate of ownership
certificate of participation (COP)
certificate of participation (COP) lease
certificate of title
Certified Financial Professional (CFP)
chargeable gain
charitable gift annuity
charitable remainder trust
chart formation
Chicago Board Of Trade (CBOT)
Chicago Board Options Exchange (CBOE)
Chicago Mercantile Exchange (CME)
Chicago Stock Exchange (CHX)
class B shares
class of stock
classified common stock
clean price
clearing
Clearing House Electronic Subregister System (CHESS)
clearinghouse
clone fund
closed corporation
closed position
closed to new investors
closed-end investment company
closed-end mutual fund
closely held corporation
closely held stock
closing bell
closing range
coherent market hypothesis
collar
collar agreement
collateral trust bond
collateralized bond obligation (CBO)
collateralized loan obligation (CLO)
collateralized mortgaged obligation (CMO)
collectibles
combination bond
combination order
commercial hedger
commercial investment
commercial paper
commercial trader
commission broker
Committee on Uniform Security Identification Procedure (CUSIP) number
Commodities Exchange Center
commodity exchange
commodity futures
Commodity Futures Modernization Act (CFMA)
Commodity Futures Trading Commission (CFTC)
commodity option
commodity paper
commodity pool
commodity pool operator
commodity swap
commodity trading advisor
common stock
common stock fund
company risk
company shareholdings
comparison universe
compensatory stock option
competition ahead
complete liquidation
composite cost of capital
compound accreted value
compound annual growth rate (CAGR)
compound interest
compound option
compounding
comprehensive due diligence investigation
concept company
concert party
conference call
confirmation statement
congestion
conservative growth
conservative investing
constructive ownership
contingent beneficial interest
contingent deferred sales charge (CDSC)
continuity of business enterprise doctrine
continuity of interest doctrine
continuous bond
continuous compounding
continuous trading
contra market stock
contract market
contract month
contract unit
contractual claim
control
control stock
conversion parity
conversion premium
conversion price
convertibility
convertible
convertible arbitrage
convertible bond
convertible debenture
convertible debt
convertible loan
convertible preferred stock
convertible price
convertible security
convexity risk
cooling-off rule
Coppock curve
core assets
corner
corporate accountability
corporate action
corporate bond
corporate debt
corporate kleptocracy
corporate raider
corporate stock
cost averaging
cost company arrangement
cost of carry
cost of equity capital
cost of funds index (COFI)
costless collar
Council of Economic Advisers (CEA)
country diversification
coupon
coupon bond
coupon rate
coupon stripping
cover
Cox, Ingersoll, Ross Option-Pricing Model
Cox, Ross, & Rubinstein Option-Pricing Model
CP Index
Crash of 1929
Crash of 1987
credit spread option
cross-currency option
cross-currency settlement risk
cross-hedging
cross-purchase agreement
cum dividend
cumulative dividend
cumulative dividend preference
cumulative preference shares
cumulative preferred stock
cumulative return
Cumulative Volume Index (CVI)
cumulative voting
cumulative, convertible, participating, preferred-dividend ordinary shares (CCPPO)
curbs
currency futures
currency option
currency risk
currency swap
current dividend preference
current market value
Cusip International Numbering System (CINS) Number
custodial account
custodial agreement
custody account
cyclical stock
cyclical stocks
daily interest account
daily trading limit
date of record
dated date
DAX 100
day order
day trade
day trader
daycount
de facto corporation
de facto merger
debt capital
debt investment
debt market
debt security
debt-equity swap
declaration date
decouple
deep discount bond
deep discount broker
deep in money option
deep out of money option
defensive investment strategy
defensive sectors
defensive securities
defensive stock
deferred annuity
deferred dividend shares
degree day swap
delayed call bond
delayed convertible
delisting
delivery date
delivery month
delivery point
delta
deposit account
deposit insurance
deposit multiplier
deposit rate
deposit term life insurance
depository account
depository institution
depository trust company (DTC)
depth of market
derivative security
development bond
diagonal spread
dialing for dollars
diamonds
differential disclosure
digital money
diluted earnings per share
dilution of ownership
dilution protection
dip
direct access trading (DAT)
direct investment
direct participation program
direct public offering
direct registration system
dirty price
disability buy-out insurance
discount arbitrage
discount bond
discount broker
discount certificate
discount factor
discount for lack of control
discount for lack of marketability
discount for lack of voting rights
discount method
discount note
discount point
discount share
discount yield
discounted cash flow method
discounted cash-flow (DCF)
discounting
discretionary account
discretionary management
discretionary portfolio management
dissenters' right
distressed security
distributable profit
distributed profits
distribution date
diversifiable risk
diversification
divestment
dividend
dividend capitalization model
dividend cover
dividend discount model
dividend equalization reserve
dividend in arrears
dividend re-investment plan (DRIP)
dividend rollover
dividend valuation model
dividend yield
divisive reorganization
doctrine of constructive receipt
dollar
dollar bond
dollar cost averaging
domestic bond
dormant partner
dotcom bubble
double barreled bond
double hedging
double jeopardy
double top
double witching day
double witching hour
Dow Jones Averages
Dow Jones Equity Market Index
Dow Jones Global Indexes [indices]
Dow Jones Industrial Average (DJIA)
Dow theory
downgrade
downgrade risk
downtick
downtrend
downturn
drag along right
drag on returns
dual class stock
dual currency bond
dual trading
dual-factor barrier option
due diligence
Dun & Bradstreet (D&B)
Dun & Bradstreet number
Dun & Bradstreet rating
dynamic risk
early withdrawal penalty
earned income
earning power
earnings multiplier
earnings per share (EPS)
earnings to price ratio
earnings yield
echo bubble
economic benefit
economic book value
economic expansion
economic rate of return (ERR)
economic value added (EVA)
effective annual return
effective interest amortization
effective interest rate
effective rate of interest
effective rate of return
effective tax rate
efficient market hypothesis
efficient portfolio
Elder-Ray Index
Electronic Communication Network (ECN)
eligible commercial entity
eligible margin
embedded derivative
embedded option
emerging economies
emerging industries
emerging market fund
emerging markets
emerging technologies
employee buyout (EBO)
endowment fund
enterprise value
entitlement
equal dollar swap
equities
equities market
equity capital
equity carve out
equity fund
equity funding
equity holder
equity income fund
equity instrument
equity interest
equity investment
equity kicker
equity linked debt-security
Equity Linked Note
equity market
equity multiplier
equity offering
equity option
equity participant
equity risk premium
equity security
equity sharing
equity stake
equity swap
equity warrant
erasure guarantee
estate freeze
ethical investment
Eurex
Eurobond
Euronext
Europe, Australia, and Far East index (EAFE Index)
European Currency Unit (ECU)
European option
European terms
evaluation period
even spread
event driven investing
event risk
evergreen option
ex all
ex cap
ex coupon
ex dividend (ex div)
ex legal bond
ex rights
ex warrants
ex-date
ex-dividend date
exact interest
excess return
exchange delivery settlement price
exchange rate risk
exchange ratio
exchange traded fund (ETF)
exchangeable security
execution only service
exercise price
exhaustion gap
exit
exit strategy
expected return on investment (EROI)
expense ratio
expiration month
exploding term sheets
exponential moving average (EMA)
extended hours trading
extension risk
external financing
face value
fair price requirement
fallen angel
false breakout
family of funds
family protective trust (FPT)
Fannie Mae
federal funds rate
Federal Home Loan Mortgage Corporation (Freddie Mac)
Federal Housing Administration (FHA)
Federal National Mortgage Association (Fannie Mae)
Federal Register
Federal Trade Commission (FTC)
Fedwire
Fibonacci Retracement
fiduciary account
fill or kill (FOK)
final dividend
final maturity date
final prospectus
financial asset
financial attributes
financial break-even point
financial capital
financial futures
financial leverage clientele
financial stakeholder
firm anomalies
Fisher criterion
Fisher effect
Fisher equation
Fisher hypothesis
Fitch Ratings
fixed annuity
fixed asset
fixed charge coverage ratio
fixed deposit
fixed income investment
fixed income security
fixed investment
fixed rate bond
fixed-price tender offer
flat bond
flat income bond
flat market
flat yield
flex option
flight to quality
flip-in right
flip-over pill
flipping
floating asset
floating rate bond
floating rate fund
floating rate note
flotation
flotation costs
focused fund
Footsie
foreign bond
Foreign Corrupt Practices Act (FCPA)
foreign crowd
foreign exchange contract
foreign exchange forward position
foreign exchange option
foreign exchange overnight position
foreign exchange risk
foreign exchange transactional position
Form S-1
formula basis
formula investing
forward contract
forward cover
forward margin
forward trading
founders' shares
fractal market hypothesis (FMH)
fractional share
franked dividend
franked payment
free right of exchange
free transferability of interest
freeze-out provision
front end load
front end loading
frontier markets
FTSE 100
full faith and credit
fully diluted earnings per share
fully distributed
fully invested
fully paid share capital
fully paid shares
fully valued
fund
fund focus
fund of funds
fund size
fundamental analysis
fundamental beta
fundamental information
fundamentals
funding risk
future value
Futures Commission Merchant (FCM)
futures contract
futures contract multiple
gamma
gap opening
Garman Kohlhagen model
general mortgage bond
general obligation bond
geographical diversification
ghost stock
gilt
gilt edged security
gilt strip
Ginnie Mae I
Ginnie Mae II
glamor stock
global coordinator
global depository receipt (GDR)
global fund
global offering
Global Research Analyst Settlement
Globex
go public
going into the trade
going long
going short
gold
gold fund
Goldman 360
good delivery
government income fund
Government National Mortgage Association (GNMA)
government paper
government securities
Gramm-Leach-Bliley Act
graveyard market
gray list
greater fool theory
green investor
green shoe
gross book value
gross parity
gross rate of return
group annuity
group rotation manager
growth and income fund
growth fund
growth investing
growth mutual fund
growth shares
growth stock
guaranteed bond
gun-jumping
hands-off investor
hands-on investor
hard asset
hard landing
heavy market
hedge
hedge accounting
hedge fund
hedging
Helsinki Stock Exchange
hidden asset
high
high flyer
high grade preferred stock
high net-worth individual (HNWI)
high-frequency trading
high-yield bond
historical returns
hit the bid
hit the ribbon
holdings
home bias
homogeneous expectations assumption
Hong Kong Dollar (HKD or $)
horizon
horizontal foreign direct investment
hot issue
Hulbert Financial Digest
hurdle rate
hybrid market
idiosyncratic investment
idiosyncratic risk
idle money
ijara
illiquid market
imbalance of orders
immediate annuity
Immediate Or Cancel (IOC)
implied volatility
in real terms
in-the-money option
income bond
income fund
income stock
incremental profit analysis
independent introducing broker
index amortizing swap
index bond
index fund
index option
indexed currency option note (ICON)
indexing
Indian Rupee (INR or Rs or Rp)
indication of interest
indirect investment
individual investor
industrial revenue bond (IRB)
Industry Classification Benchmark (ICB)
industry life cycle analysis
inflation
inflation premium
inflation risk
inflation-indexed bond
information content effect
information memorandum

initial capital
initial margin
initial public offering (IPO)
initiate coverage
inside market
insider
insider trading
Insider Trading And Securities Fraud Enforcement Act of 1988
Insider Trading Sanctions Act of 1984
inspector's or judge's certificate
Institutional Brokers' Estimate System (IBES)
institutional fund
institutional investors
instrumental approach
insured bond
intangible asset
intangible property
intercommodity spread
interest bearing
interest rate
interest rate risk
interest rate sensitivity
interest rate swap
interim dividend
Intermarket Trading System (ITS)
intermediate trend
internal rate of return (IRR)
Internal Revenue Service (IRS)
international fund
International Securities Exchange (ISE)
International Securities Identification Numbering (ISIN)
internet stock
intracommodity spread
intrinsic stakeholder commitment
intrinsic value
intrinsic worth
introducing broker (IB)
inverted market
inverted yield curve
investing activities
investment
investment adviser
investment analysis
investment appraisal
investment broker
investment club
investment company
Investment Company Act of 1940
Investment Company Amendments Act of 1970
investment credit
investment decision
investment fund
investment grade
investment grade bond
investment grade fund
investment horizon
investment income
investment instrument
investment interest expense
investment leverage
investment life cycle
investment management agreement
investment portfolio
investment product line
investment project
investment property
investment proposal
investment pyramid
investment strategy
investment treaty
investment trust
investment value
investomer
investor
involuntary liquidation preference
Isle of Man
ISO currency code
issue date
issued share capital
issuer
issuer risk
J-Curve Effect
January effect
Japanese housewives
Japanese Yen
joint and survivor annuity
joint life and survivorship annuity
joint life annuity
junior claim
junior issue
junior mortgage
junk bond
junk bond fund
jurisdiction risk
Katie Couric Clause
key employee
kicker pattern
kijun-sen
knock-in option
knock-out option
Kondratieff cycle
laddered portfolio
laddering
large capitalization stock
Last
last sale
last survivor annuity
last trading day
late stage funding
law of diminishing marginal utility
law of diminishing returns
lead investor
lead manager
LEAPS
legal investment
legal list
legislative overkill
Lehman Brothers
Lehman formula
letter bond
letter of allotment
letter of application
letter of renunciation
letter security
levered free cash flow
life annuity
life income with period certain annuity
life insurance
life insurance trust
limit move
limit order
limit order information system
limited partnership unit
limited tax bond
liquid asset
liquid net worth
liquidity
listed company
listed security
listing requirements
load fund
load spread option
loan capital
loan debenture
loan participation fund
loan stock
location spread
lock-up agreement
Lombard rate
London Metal Exchange (LME)
London Stock Exchange (LSE)
long coupon
long hedge
long market value (LMV)
long position
long squeeze
long straddle
long term asset
long term bond
long term investment
long wave
longterm equity anticipation security (LEAPS)
lookback option
low
Macaulay duration
macro hedge
maintenance concept
maintenance margin
major market index
majority interest
majority ownership
majority shareholder
majority voting
Maloney Act
managed account
managed fund
management company
management expenses
management fee
margin account
margin buying
margin call
margin deposit
margin requirement
marginal efficiency of capital
marginal productivity of capital
Margrabe option
mark to market
market approach
market cycle
market if touched (MIT)
market interest rate
market maker
market maker spread
market model
market multiplier
market neutral strategy
market not held order
market offering
market on close order
market on open order
market order
market performance
market price
market price of risk
market return
market risk
market system
market timing
market-based forecasting
market-value weighted index
marketable security
marketed claims
Markovian dependence
married put
material information
matured bond payable
matured interest payable
maturity amount
maturity mix
maturity period
maturity swap
maximax criterion
maximin criterion
maximum likelihood criterion
maximum price fluctuation
maximum tolerated dose
measurement noise
mechanization
medallion program (STAMP)
merger deficit
micro hedge
microcap
microcap fund
mid market price
midddle capitalization stock
milking strategy
minimum margin
minimum purchases
minimum quote size
minimum subscription
minimum-variance frontier
minimum-variance portfolio
minority discount
minority interest
minority shareholder
minority squeeze-out
mirroring and matching
mixed lot
Modern Portfolio Theory (MPT)
modified duration
Modiglani-Miller hypothesis
mom and pop investors
momentum investing
momentum investor
monetary default
money manager
money market
money market account (MMA)
money market certificate (MMC)
money market deposit account
money market fund (MMF)
money market instruments
money market investment
money market operations
money market rate
money market yield
monthly income preferred shares (MIPS)
Moody's Bond Survey
Moody's Investors Service
moral obligation bond
morning loan
Morningstar
Morningstar rating system
Morningstar system
mortgage backed bond
mortgage backed passthrough security
mortgage backed security
mortgage bond
mortgage broker
mortgage derivative
mortgage pass through security
mortgage-backed securities clearing corporation (mbscc)
mosaic theory
MSCI-EAFE index
municipal bond
Municipal Securities Rulemaking Board (MSRB)
mutual association
mutual company
mutual fund
mutual fund custodian
mutual fund subadvisor
mutualization of risk
mutually inclusive
naked call
naked option
naked position
NASDAQ
NASDAQ stock market
National Association of Investors Corporation (NAIC)
National Association of Securities Dealers (NASD)
national best bid and offer (NBBO)
National Futures Association (NFA)
National Market System (NMS)
National Stock Exchange (NSX)
Nationally Recognized Statistical Ratings Organization (NRSRO)
nearby futures contract
negative convexity
negative divergence
negative gap
negative pledge
negotiable certificate of deposit (CD)
negotiable security
negotiated issue
negotiated market
net asset value (NAV)
net asset value per share
net change
net fixed assets
net income per share
net interest cost
net present value (NPV)
net realizable value of asset
net return
net tangible assets
net value
Nevis Corporation
new issue
new paradigm
New York Board of Trade (NYBOT)
New York Mercantile Exchange (NYMEX)
New York Stock Exchange (NYSE)
New York Stock Exchange (NYSE) composite index
newco
nifty fifty
Nikkei stock average
no limit order
no load
no load fund
no par value (NPV) share
no-load DRIP
nominal capital
nominal interest rate
nominal quote
nominal rate of return
nominal share capital
nominal value
nominal yield
nominee account
nominee name
nominee shareholder
nominee shareholding
non asset
non interest bearing bond
non-callable
non-current liability
non-current receivable
non-discretionary proposal
non-diversifiable risk
non-monetary asset
non-objecting beneficial owner (NOBO)
non-operating asset
non-performing asset
non-qualified stock option
non-voting stock
nonacceptance
nonassessable capital stock
noncompetitive tender
noncumulative preferred stock
nonissuer transaction
nonparticipating
normal profit
normal yield curve
not held order
note amortization schedule
notice day
notice period
notional amount
notional principal
NYMEX
NYSE Arca
obligation bond
odd lot dealer
offshore fund
Oman Investment Fund
omitted dividend
omnibus account
on margin
online broker
open
open corporation
open end mutual fund
open interest
open repo
open-end fund
opening bell
operating asset
opportunity cost
opportunity cost of capital
option buyer
option contract
option fund
option holder
option premium
option price
option seller
option spread
optional dividend
optionee
optioner
or better
order book
order ticket
ordinary interest
ordinary share
original issue discount
other assets
other people's money (OPM)
out-of-the-money option
outperform
outstanding shares
overbought
overbought/oversold indicator
overnight repo
oversold
oversubscribed
oversubscription
oversubscription privilege
overweight
owner of record
owners' equity
ownership
ownership in common
paid up
paid-in capital
paid-in surplus
paper
paper asset
par stock
par value
par value bond
partial profit taking
participating dividend
participating preferred stock
partly paid shares (or stock)
pass through security
passive activity
passive income
passive investor
patient capital
payback period
payback period method
payout ratio
pecuniary benefit
peer perform
penalty plan
penny stock
Pension Benefit Guaranty Corporation (PBGC)
pension fund
pension maximization
perfect hedge
performance analysis
permanent capital
permanent interest bearing share (PIBS)
perpetual annuity
perpetuity
Philadelphia Stock Exchange (PHLX)
physical delivery
physical market
piggyback warrant
piggybacking
pink sheets
pit
pledge fund
point and figure (P&F) chart
pool
pooled investment vehicle (PIV)
portfolio
portfolio income
portfolio insurance
portfolio investment
portfolio management
position
positive carry
post audit
post-money valuation
pre-money valuation
pre-tax return on assets
pre-tax return on net worth
prearranged trading
precious metals
prediction market
preference shares
preferred dividend
preferred habitat theory
preferred stock
preliminary official statement (POS)
premium
premium bond
present value (PV)
present value (PV) factors
present value (PV) of a future amount
present worth
price continuity
price immunization
price limit order
price of time
price to book (PB) ratio
price to cashflow ratio
price to earnings (PE) ratio
price to earnings growth (PEG) ratio
price to revenue ratio
price to sales (PS) ratio
price weighted index
primary beneficiary
primary distribution
primary earnings per share
primary market
primary stakeholder
prime broker
prime paper
principal basis
principal stockholder
principal strip
prior lien bond
private annuity
private benefits
private equity
private placement
private securities
privately held corporation
probate price
profit multiple
profit taking
profit/loss graph
property
protected cell company (PCC)
protective put
Public Company Accounting Oversight Board (PCAOB)
public enterprise
public float
public offering
publicly traded
publicly traded partnership (PTP)
pump and dump
purchase acquisition
pure annuity
put bond
pyramiding
QQQ
qualifying share
quality swap
Quanto option
quiet period
quoted company
Racketeer Influenced and Corrupt Organizations Act of 1970 (RICO)
rainbow option
rally
random walk theory
rate intermediation
rate of interest
rate of return rule
rating agency
reaction adjustment
real asset
real estate
real estate investment trust (REIT)
real interest rate
real investment
real option
real terms
real yield
receiver's certificate
redeem
redeemable debenture
redeemable preferred stock
redeemable shares
redemption
redemption date
redemption fee
redemption premium
redemption value
redemption yield
reference currency
refund annuity
refunding
refunding bonds
regional stock exchange
registered bond
registered broker
registered competitive market maker
registered investment advisor (RIA)
registered options trader
registered owner
registered security
registration statement
regulated investment company
Regulation D
Regulation FD
Regulation Q
Regulation R
Regulation S
Regulation T
Regulation U
rehypothecation
reinvestment
relative fair market value
relative value
remargining
replacement capital
repo
repo rate
repurchase agreement
required rate of return
residual income
residual interest
restricted
restricted account
restricted shares
retail sales
retained earnings
retention ratio
return
return on assets (ROA)
return on assets managed (ROAM)
return on average assets
return on capital (ROC)
return on common equity
return on equity (ROE)
return on investment (ROI)
return on sales (ROS)
revenue bond
reverse repo
reverse stock split
reversion
reward
right of accumulation
rights issue
rights letter
ring the cash register
risk adjusted discount rate
risk arbitrage
risk averse
risk aversion
risk disclosure document
risk free
risk free investment
risk free rate
risk free return
risk neutrality
risk perception
risk premium
risk rate
risk total
risk-adjusted return
risk-based haircut
risk-free rate of return
risk-neutral measures
risk/reward tradeoff
roll down
roll forward
roll up
rollback
rolling returns
rollover
rule of 72
Rules of Fair Practice
running yield
Russell indexes [or indices]
safety net
sales charge
sales comparison approach
samurai bond
sandwich generation
savings account
savings bond
savings certificate
savings liability
scale order
scalp
scalper
Schedule 13D
screen
scrip dividend
scripless
seat (exchange seat)
SEC yield
second preferred stock
secondary market
sector fund
sector rotation
secular market
secure bond
secured bond
secured debenture
secured lease obligation bond (SLOB)
securities
Securities Act of 1933
Securities and Exchange Commission (SEC)
Securities Enforcement Remedies And Penny Stock Reform Act of 1990
Securities Exchange Act of 1934
Securities Investor Protection Corporation (SIPC)
securities laws
securities liquidity risk
security
security analyst
security instrument
security interest
segmentation
segregated account
self liquidating asset
self liquidating bond
self-regulatory organization (SRO)
self-supporting bond
sell limit order
sell short
sell the book
sell-side analyst
selling long
senior bond
senior security
sensitive market
sentiment
serial annuity bond
serial bond
series bond
settlement date
settlement option
settlement price
share
share index
share option
share premium
share price index
share repurchase
share subscription
shareholder
shareholder loan
shareholder value added (SVA)
shares authorized
Sharpe ratio
shibosai bond
shogun bond
short call option
short covering
short hedge
short interest
short interest ratio
short position
short sale rule
short seller
short selling
short squeeze
short straddle
short term
short term asset
short term investment
short-term trend
SICAV
silver
simple debenture
simple interest
single life annuity
single stock futures (SSF)
sinker
sinking fund provision
sleeper
sleeping beauty
small capitalization (small cap) stock
Small Order Execution System (SOES)
smart money
socialism
socially conscious mutual fund
sophisticated investor
sovereign credit rating
sovereign risk
special assessment bond
special dividend
special purpose bond
special tax bond
specialist
specialist firm
specific return
specific risk
speculation
speculative balance
speculative grade
speculative security
speculator
split
split ratio
spot commodity
spot contract
spot date
spot market
spot month
spot trading
spread
spread option
spread trade
spread trading
spreading
squeeze
stag
stakeholder management
stamped security
Standard & Poor's (S&P)
Standard & Poor's 500 composite index (S&P 500)
Standard & Poor's Ratings
standard deviation
stated value
statement of additional information (SAI)
step up bond
stepped interest debenture
stepped preferred stock
sticky floater
stock
stock appreciation right
stock buyback
stock certificate
stock dividend
stock exchange
stock fund
stock index
stock index futures
stock index option
stock market
stock market CD
stock market crash
stock option
stock power
stock purchase agreement
stock quote
stock rating
stock split
stock subscription plan
stockbroker
stockholder
stop buy order
stop limit order
stop loss order
stop order
stop price
story paper
story stock
straddle
straight bond
straight paper
strangle
strategic investor
street broker
street name
strike price
striking price
strip financing
stripped bond
STRIPS
stub quote
stub stock
style box
subscribe
subscription
subscription price
subscription shares
substantive coercion risk
substituted basis
suitability rules
sunrise industry
sunset industry
super majority
Superdot
supermontage
survivorship annuity
swap
swap curve
swap rate
swaption
sweat equity
swing trader
Swiss Franc (CH)
syndicated investment
systemic risk
tag along provision
tag-along
take a position
take private
take-up fee
taking a bath
tangible asset
tangible book value
target price
tax anticipation bill (TAB)
tax anticipation note (TAN)
tax based bond
tax deductible interest
tax deferred annuity
tax deferred investment
tax deferred savings
tax efficiency
tax-exempt bond
tax-exempt sector
taxable equivalent yield
teaser rate
technical adjustment
technical analyst
technical indicator
technicals
technology fund
TED Spread
tender offer
term bond
term structure of interest rates
theta
third market trading
thrusting line
TIAA-CREF
tick
ticker
ticker tape
tight market
time horizon
time limit order
time order
time to expiry
time value of money (TVM)
timing service
Tokyo Stock Exchange (TSE)
top down
Toronto Stock Exchange (TSX)
total invested capital
total return
total return index
tracking error
tracking stock
trade sale
traded option
trader
trading assets
trading book
trading capital
trading dividends
trading floor
trading halt
trading on the equity
trading pit
trading post
trading session
trading volume
traditional option
trailing stop
trailing stop loss
tranchette
transfer agent
transfer restriction
translation exposure
treasuries
treasury bill (T-bill)
treasury bond (T-bond)
treasury note (T-note)
treasury stock
trend reversal
triple witching day
triple witching hour
trough
trust indenture
TSX Venture Exchange
U.S. Treasury Note
ultra vires activities
umbrella fund
unamortized bond discount
unamortized bond premium
unamortized discount on investments
unamortized premium on investments
uncovered position
underlying
underlying asset
underperform
undervalued
underweight
underwriting agreement
underwriting spread
underwriting syndicate
undivided interest
undivided share
Uniform Practice Code (UPC)
Uniform Securities Act
Uniform Securities Agent State Law Examination
unissued stock
unit
unit investment trust (UIT)
unit trust
universe of securities
unlimited tax bond
unlisted security
unsecured bond
unsolicited bid
unsystemic risk
upside
upside potential
upside-downside ratio
uptick
value at risk (VAR)
value averaging
value based management
value funds
value investing
Value Line Composite Index
value stock
valued based company
variable annuity
variable rate demand obligation (VRDO)
vega
velocity
venture capital
venture capital firm
venture capitalist
vesting period
vetoing stock
Virtual Trading
volume
voting agreement
voting right
voting stock
vulture capital
vulture capitalist
vulture funds
waiting period
Wall Street
watch list
watered stock
wealth maximization
weather derivative
whipsaw
whisper number
whistle blower
white candlestick
wholly owned subsidiary
wildcat business
Williams Accumulation Distribution (WAD)
Williams Act
Wilshire 5000
Wilshire stock indexes [or indices]
with dividend
with rights
withdrawal plan
working asset
worst of two option
wrap account
x or xd
xr
xw
Yankee bond
yankee market
yankees
yellow sheets
yield
yield curve
yield differential
yield to call (YTC)
yield to maturity (YTM)
zero cost option
zero coupon convertible
zero dividend preference share
zero-coupon bond
zero-interest bond
zero-rated bond
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