Log In
|
My Passes
|
Sign Up
Learning Guides
Teacher Resources
Test Prep
College Readiness
Schools & Districts
All of Shmoop
Literature
Bible
Poetry
Shakespeare
Mythology
Bestsellers
Dr. Seuss
Pre-Algebra
Algebra
Algebra II
Geometry
Biology
US History
Flashcards
DMV
Careers
SAT
ACT
AP Exams
En Español
Essay Lab
Videos
Literary Critics
Shmoop Shtuff
Finance Glossary
?
1-9
A-B
C-D
E-G
H-K
L-N
O-Q
R-T
U-Z
Advertisement
1
1035 Exchange
12B-1 Fee
144a
1940 Investment Advisors Act
2
200 Day, 50 Day Moving Averages
2001 USA Patriot Act
4
401(k), Roth 401(k) Or Just 401k Plan
403(b) Plan
409a Valuation
5
529 Savings Plan
7
75-5-10 Rule
A
A-Shares
Above Full Employment Equilibrium
Above Par
Account At Maintenance
Account Executive
Account In Trust
Accounting Period
Accounting Rate Of Return
Accounts Payable
Accounts Receivable
Accredited Investor
Accrued Interest
Accumulation Period
Accumulation Units
Act Of 1933
Act Of 1934
Acting Against Recommendations
Acting As A Principal
Active Investing
Active Risk
Ad Valorem
Adjustable Rate Preferred Stock
Adjusted Closing Price
Adjusted Gross Income - AGI
Adjustment Bond
Administrative Order
Administrator
Advance Refunding Or Prefunding
Advance/ Decline Ratio
Advertisement
Advertising Prospectus
Advisor
Advisor Account
Affiliated Person/ Investor
Aftermarket Securities Transactions
Agency Bond
Agency Broker
Agency Cross Transaction
Agent
All Or None
Alligator Spread
Allocational Efficiency
Alpha Risk
Alternative Investment
Alternative Minimum Tax - AMT
Alternative Trading System
American Callable Bond
American Depository Receipt/ ADR
American Stock Exchange
American Style Stock Option
Amortization
Amortized Bond
Analyst Expectation
Analyst Sponsorship
Annual Return
Annualized Total Return
Annuitize
Annuity
Annuity Due
Anti-Dilution Covenants
Anti-Money Laundering Laws
Antidilutive
Approved List
Arbitrage
ARM
Ask
Assessed Value
Asset Allocation
Asset Backed
Assets
Assets Under Management
Assignment
Associated Person
Asymmetric Information
At Par
At-the-Close Order
At-the-Money
At-the-Opening Order
Auction Market
Auction Market Preferred Stock - AMPS
Authorized Stock
Authorizing Resolution
Automated Client Account Transfer (ACAT)
Automatic Reinvestment
Average Cost Basis
Away From Market
B
B-Shares
Back End Load
Backdating
Backing Away
Balance Sheet
Balanced Funds
Balloon Loan
Balloon Maturity
Bankruptcy
Bankruptcy
Basis Point
Basis Quote
Bear Market
Bear Spread
Best Bid
Best Execution
Beta
Bid
Bid-Ask Spread
Black Scholes
Block Trade
Blue Chip Stocks
Blue-Sky Laws
Bond Anticipation Notes
Bond At A Discount
Bond At Par
Bond At Premium
Bond Components
Bond Duration
Bond Fund
Bond Point
Bond Rating
Bond Ratio
Bond Yield
Bonds
Bonds - Major Classes - A Long-Form Definition
Book Entry
Book Value
Bought Deal
Bowie Bond
Break Out
Breakpoints
Broker Call Rate
Broker Loan Rate
Brokerage Account
Brokerage Fee
Bull Market
Bull Spread
Business Cycle
Butterfly Spread
Buy And Hold
Buy Limit Order
Buy Side
Buy Stop Order
Buy-in
C
C-Shares
Calendar Spread
Call Loan
Call Option
Call Premium
Call Protection
Call Provision
Call Risk
Callable
Callable Preferred
Capital Appreciation
Capital Asset Pricing Model
Capital Gains
Capital Gains Distribution
Capital Markets People
Capital Stock
Capital Surplus
Capping
Cash Dividends
Cash Equivalent
Cash Flow
Cash Settlement
CBOE
CBOT
Certificate Of Deposit
Certifications
Certified Or Approved
CFO
Chinese Wall
Churning
Clearinghouse
Closed End Fund
Closed Indenture
CMO
COGS - Cost Of Goods Sold
Coincident Indicator
Collateral
Collateral Trust Bonds
Collateralized Mortgage Obligation
Collection Ratio
Commingle
Commissions
Commodities
Common Stock
Common Vs. Preferred Shares
Compensation - Advisory Fee Limits
Competitive Bid
Competitive Underwriting
Conduit Theory
Conflict Of Interest
Consent To Service Of Process
Constant Dollar Plan
Consumer Price Index
Contempt Of Court
Contingent Deferred Sales Charge
Contraction
Contractual Clarity
Conversion Privilege
Conversion Ratio
Conversion Rights
Convertible Bonds
Convertible Stock
COO
Cooling
Cooling-Off Period
Corporate Bonds
Corporation
Cost Basis
Coterminous Debt
Coupon
Coupon Bond
Covenants
Covered Call
Covered Options
Covered Party
Covered Put Writer
Crash Of 1929
Credit Risk
Crossed Market
CTS
Cumulative Preferred Stock
Cumulative Voting
Current Asset
Current Liability
Current Ratio
Current Yield
CUSIP Number
Custodial Account
Custodian
Custody
Customer Statement
D
D&A
Dated Date
Day Order
Dead Cat Bounce
Dead Money
Dealer
Debenture
Debt Per Capita
Debt Service
Debt Service Ratio
Debt-to-Equity Ratio
Deferred Annuity
Deferred Interest
Deferred Load
Defined Benefit Plans
Defined Contribution Plans
Deflation
Delisting
Delivery Vs. Payment
Depletion Allowance
Depreciate
Depression
Diagonal Spread
Dilution
Direct Participation Programs
Direct Public Offering
Discount Bond
Discount Cash Flow
Discount Rate
Discretion
Discretionary Account
Disintermediation
Diversification
Diversified Mutual Fund
Dividend
Dividend Payout
Do Not Reduce
Dollar Cost Averaging
Don't Know Notice
Double Barreled
Dow Theory
Due Dilligence
Dutch Auction
DVP
E
Earned Income
Eastern Account
EBITDA
ECN
Effective Date
Efficient Market Theory
Emerging Market
Employee Stock Options
Entity
EPS
Equipment Trust Certificates
Equity
Equity Capitalization
Equity Funds
Equity Income Fund
Equity Market
Equity Options
ERISA
Escrow
ETF - Exchange Traded Fund
European Style
Ex-Date
Ex-Rights
Exempt
Exempt Security
Exempt Transaction
Expansion
Expense Ratio
Expiration Dates
Extended Trading
F
Face Value
FACs
Family Offices
Fast Market Rule
Fast Tape
Feasibility Study
Federal Funds Rate
Federal Reserve Board
Federal Reserve System
FFCB
FHLMC
Fidelity Bond
Fiduciary
Financial Advisor
Financial Planner
FINRA
Firm Commitment
Firm Quote
Fiscal Policy
Fixed Annuity
Fixed Assets
Fixed Dividend
Flat Yield Curve
Floor
Floor Trader
FNMA
FOK
Forward Pricing
Forward Split
Fourth Market, Instinet
Fraud
Free Cash Flow
Free Trade
Freeriding
Front End Load
Front Running
Fulcrum Fee
Full Faith And Credit
Full-Service Broker
Fully Bought Deal/Bought Deal
Fully Registered Bonds
Fundamental Analysis
Funded Debt
G
GDP
General Obligation Bond
General Partner
Gift Tax
GNMA
Good Delivery
Government Security
Greenshoe Option
Gross Margin
Gross National Product
Gross Profit Ratio
Growth And Income Fund
Growth Company
Growth Fund
GTC
Guarantee
Guaranteed Security
H
Hedge Fund
Hiding Written Complaints
High Octane Stock
High Yield
Holder
Holding Period
Hurdle Rate
Hypothecate
Hypothecation Agreement
I
Immediate Annuity
Immediate Or Cancel Order
In Street Name
In The Money
Incentive Stock Option
Income Fund
Income Statement
Indenture
Index
Index Fund
Index Funds - Why Buy?
Index Options
Individual Account
Inflation
Initial Margin
Initial Public Offering
Inside Information
Insider
Insider Trading And Securities Fraud Enforcement Act Of 1988
Institutional Account
Institutional Investor
Interest Coverage
Interest Rate Options
Internal Revenue Code
Internal Revenue Service
Interstate Offering
Intrinsic Value (of An Option)
Introducing Broker
Inventory Turnover
Inverse Head-and-Shoulder-Chart
Investment Advisor
Investment Advisor Representative
Investment Advisors Act Of 1940
Investment Bankers
Investment Company
Investment Company Act Of 1940
Investment Contract
Investment Grade
Investment Objective
Investment Policy Statement
Investment Style
IRA
Irrational Exuberance
Issued Shares
Issuer
J
Joint Account
Joint Tenants With Right Of Survivorship
Junk Bond
K
Keogh Plan
Keynes
Kickbacks
Know Your Client
L
Large Cap
Lead Manager
LEAPS
Legal List
Letter Of Intent
Liabilities
LIBOR
LIFO
Limit Orders
Limited Liability
Limited Partnership
Line Of Credit
Liquid Market
Liquidity
Listed Stocks
Load Fund
Lockup Period
Lockup Provision
Long
Long Gamma
Long Term Capital Gain
M
Management Company
Management Fee
Margin
Margin Accounts
Margin Call
Margin Debt
Margin Interest
Market Capitalization
Market If Touched
Market Maker
Market Manipulation
Market Order
Market Risk
Matched Purchases
Matching Orders
Material Fact
Material Information
Maturity
Mergers And Acquisitions
Minimum Maintenance
Misappropriation
Misrepresentation
Modern Portfolio Theory
Monetary Policy
Money Laundering
Money Market
Moody's
Moral Obligation Bond
Most Active
Municipal Bond
Municipal Security
Municipal Syndicate
Mutual Funds
N
Naked Options
NASD
NASDAQ
NAV - Net Asset Value
Negotiated Deal
Negotiated Underwriting
Net Capital
Net Income
Net Present Value
Net Worth
New Account Form
Nine Bond Rule
No-Load Fund
Nominal Yield
Non Exempt
Non-Accredited Investor
Non-Cumulative Preferred Stock
Non-Diversified Funds
Non-Issuer
Non-Issuer Distribution
Non-punitive Orders
Non-Qualified Plan
Non-Qualified Stock Option
Non-Voting Stock
Not Held
NYMEX
NYSE - New York Stock Exchange
O
Odd Lot
Odd Lot Theory
Offer
Omnibus Account
Open End Fund
Opening Price
OPEX
Option
Option Premium
Option Schedule
Options Clearing Corporation
Ordinary Annuity
Ordinary Income
Ordinary Shares
Original Issue Discount
OTC - Over The Counter
Out Of The Money
Outside Business Activities
Overbought
Oversold
P
Paid-In-Capital
Paid-in-Surplus
Painting The Tape
Par Value
Pari-Passu
Parity
Participating Preferred Stock
Pass Through
Passive Income
Passive Loss
Penny Stock
Person
Pink Sheets
Placement
Portfolio
Pre-Emptive Rights
Prearranged Trades
Preferred Stock
Preliminary Prospectus
Premium Bond
Price Limit Orders
Primary Offering
Primary Shares
Prime Rate
Principal
Principal Protected Fund
Principal-Only
Private Equity
Private Investment Company
Private Placement
Private Placement
Pro Rata Rights
Program Trades
Progressive Tax
Prospectus
Protectionist
Proxy
Proxy Contest
Proxy Statement
Prudent Investment
Prudent Investor Rule
Prudent Man Rule
Public Offering
Public Offering Price
Punitive Orders
Purchasing Power
Put
Q
Qualified Dividends
Qualified Plan
Qualified Purchaser
Quotas
R
RAN - Revenue Anticipation Note
Random Walk
Realized Gain
Realized Loss
Red Herring
Redemption
Refusing To Follow Instructions From A Customer
Registered Form
Registered Investment Advisor
Registered Representative
Registration By Coordination
Registration By Filing/Notification
Registration By Qualification
Registration Statement
Regressive Tax
Regular Way
Regulation A
Regulation D
Regulation FD
Regulation T
REIT
Relative Strength Index
Rescission
Reset Date
Residual Claim To Assets
Restricted Stock
Retail Investors
Retirement Accounts
Return On Assets (ROA)
Return On Investment
Revenue
Revenue Bond
Reverse Split
Reverse Stock Split
Risk Averse
Road Show
Roll Up
Round Lot
Rule 144
Rule Of 72
S
S&P 500
Sales Charge, Sales Load
Sales Literature
Sandbagging
Sarbanes Oxley
Savings Bond
Scales
Second Market
Secondary Offering
Sector Fund
Secured Creditor
Securities Act 1933
Securities Exchange Act 1934
Security
Self-Dealing
Self-Regulatory Organization (SRO)
Sell Limit
Sell Side
Sell Side Analyst
Sell Stop
Selling Away
Separate Account
Settlement
SG&A
Shareholder
Shares Outstanding
Sharing In Profits/Losses Of Clients
Sharpe Ratio
Short Sale
Short Term Capital Gain
Short Term Capital Loss
Shorting Stock
Sinking Fund
SIPC
Skew
Small Cap
Sole Proprietorship
Soliciting Orders For Unregistered, Non-Exempt Securities
Special Memorandum Account
Specialist
Spread
Spread To Treasuries
Stagflation
Statutory Voting
Stock Certificate
Stock Dividend
Stock Split
Stop Limit Order
Stop Loss
Stop Order
Straddle
Strangle
Street Name
Strike Price
Subordinated Debenture
Subscription Agreement
Super-Voting Stock
SuperDOT
Supply-Side Economists
Surety Bond
Surrender Charge
Surrender Fee
Surrender Period
Syndicate
Systematic Risk
T
T+3
T-Bills
T-Bonds
T-Notes
Takedown
Tariffs
Tax Deferred
Tax Equivalent Yield
Tax Exempt Bonds
Tax Loss Carry-forward
Technical Analysis
Tenants-in-Common
Tendering
Term Sheet
The Maloney Act
Theta
Theta Decay
Ticker Tape
Time Value
TIPS
Trade Confirmation
Trade Deficit
Trading Volume
Transfer Agent
Treasury Stock
Trust Indenture
Trust Indenture Act 1939
Turnover Rate
Two Dollar Broker
U
Unauthorized Transactions
Underwriter
Unfunded Pension Liabilities
Uniform Securities Act
Unit Investment Trust
Unlimited Liability
Unrealized Gain
Unsecured Bond
Unsolicited Order
Unsuitable Recommendations
Unsystematic Risk
Uptick Rule
USTD
UTMA
V
Valuation Analysis
Valuation Formats
Value Investing
Vanilla Bonds
Vanilla Terms
Variable Annuity
VIX
Volatility
VRDO
W
Waivers
Wash Rule
Western Accounts
When-Issued
Whisper Number
Work In Process Inventory
Working Capital
Wrap Account
Writer
Y
Yield
Yield Curve
Yield To Call
Yield To Maturity
Z
Zero Coupon Bonds
