Glossary
- 12B-1 Fees
- Abuse
- Accessory
- Accomplice
- Accredited Investor
- Accused
- Acquittal
- Actual Fraud
- Advance Fee Scam
- Affidavit
- Affirmative Defense
- After-tax Real Rate of Return
- Agency Transaction
- Aggravated Assault
- Aggravating Factor/Circumstance
- Aggressive Growth Fund
- Aid and Abet
- Alibi
- Allegation
- Allocation Models
- Allocution
- Analyst
- Annual Meeting
- Annual Report
- Annuitant
- Annuity
- Annuity
- Answer
- Antitrust
- Appeal
- Appreciation
- Approved List
- Arbitrage
- Arbitral Immunity
- Arbitration
- Arbitrator
- Arms Length Transaction
- Arraignment
- Arson
- Assault
- Assault and Battery
- Assault with A Deadly Weapon
- Asset
- Asset Allocation
- Asset Management Account (AMA)
- Asset Manager
- Associated Person
- Attorney General
- Award
- Bail
- Bail Bond
- Bail Exoneration
- Bail Forfeiture
- Bailiff
- Balance Sheet
- Balloon
- Bank Fraud
- Bankruptcy Fraud
- Battery
- Bear and Bull Markets
- Bearer Bond
- Bench Trial
- Bench Warrant
- Beneficiary
- Best Execution Requirement
- Beyond a Reasonable Doubt
- Bill of Particulars
- Bind Over
- Block
- Block Trade
- Blue-Sky Laws
- Boiler Room
- Bond
- Book-Entry Securities
- Booking
- Branch Office
- Branch Office Manager (BOM)
- Breach of Fiduciary Duty
- Breach of Promise/Contract
- Bribery
- Broker
- Broker-Dealer
- Bucket Shop
- Bucketing
- Bull and Bear Markets
- Burglary
- Buying On Margin
- Call Option
- Capital Case
- Capital Gain
- Capital Gains Distribution
- Capital Loss
- Capital Punishment
- Carjacking
- Cash Account
- Central Registration Depository (CRD)
- Certificate
- Certificate Of Deposit (CD)
- Certified Financial Planner
- Certified Public Accountant
- Character Evidence
- Charge
- Child Abuse
- Churning
- Circumstantial Evidence
- Citation
- Citing Authority or Agency
- Civil Law
- Civil Process
- Claim
- Clemency or Executive Clemency
- Commissions
- Commit
- Commodities
- Common Stock
- Community Property
- Community Service
- Commutation
- Competence Order
- Competency
- Complaint (Criminal)
- Compliance Departments
- Concurrent Jurisdiction
- Concurrent Sentence
- Conditions of Release
- Confirmation
- Consecutive Sentence
- Constructive Fraud
- Constructive Possession
- Consumer Price Index (CPI)
- Contempt
- Continuance
- Convertible Bond
- Conviction
- Cooling Off Period
- Corporate Bond
- Corporate Bond
- Corporation
- Count
- Counterfeiting
- Coupon Bond
- Court
- Court-appointed Attorney
- Credit Card Fraud
- Crime
- Crimes against Property
- Crimes against the Person
- Criminal Case
- Criminal Code
- Criminal Homicide
- Cross-examination
- Cultivation
- Custodial Account
- Custodian
- Custodian Trustee
- Custody
- Customer Agreement
- Cyber theft
- Cybercrime
- Cyberstalking
- Debenture
- Debt
- Debt Instrument
- Defendant
- Defense Lawyer
- Defense of Property
- Deferral of Taxes
- Deferred Account
- Deferred Annuity
- Deferred Interest Bond
- Deficiency Letter
- Defined Benefit Pension Plan
- Deflation
- Delinquent
- Depreciation
- Depression
- Derivative Instrument
- Designations
- Direct Public Offering
- Discount Broker
- Discount Rate
- Discovery
- Discretionary Account
- Discretionary Order
- Discretionary Trust
- Dismiss/Dismissal
- Disorderly Conduct
- Distribution
- Distributions
- Diversification
- Diversified Investment Company
- Diversion
- Dividend
- Dividend Record
- Dividend Reinvestment Plan (DRIP)
- Dividend Yield
- Dollar Bond
- Dollar Cost Averaging
- Domestic Violence
- Double Jeopardy
- Dow Jones Composite
- Dow Jones Industrial Average (DJIA)
- Dow Jones Transportation Average (DJTA)
- Drug Abuse Violations
- Drug Offenses
- Due Diligence
- Due Process of Law
- DUI
- Dumping
- Dun & Bradstreet (D & B)
- Earned Income
- Earnings
- Earnings Before Interest and Taxes (EBIT)
- Earnings Per Share (EPS)
- Earnings Price Ratio (EPR)
- Earnings Report
- EDGAR
- Effective Date
- Effective Rate
- Elements of a Crime
- Embezzlement
- Employee Retirement Income Security Act (ERISA)
- Entrapment
- Equity
- Equity REIT
- Estate Tax
- Evidence
- Examination in Chief
- Exclusionary Rule
- Exculpatory Evidence
- Excusable Homicide
- Execution
- Exempt Securities
- Exercise Limit
- Exercise Price
- Exhibit
- Exit Fee
- Expense Ratio
- Expert Testimony
- Expiration
- Expiration Date
- Extortion
- Extradition
- Extrinsic Fraud
- Face Value
- Failure to Execute Trades
- Failure to Supervise
- Fair Market Value
- Family of Funds
- Federal Court
- Federal Public Defender
- Federal Rules of Evidence
- Felony
- Felony Murder
- Fiduciary
- Financial Industry Regulatory Authority (FINRA)
- Financial Pyramid
- Financial Statement
- First-degree Murder
- Fitch's Rating Service
- Fixed Annuity
- Fixed Income Investment
- Forgery and Counterfeiting
- Form 10 K
- Form ADV
- Fraud
- Front-End Load
- Front Running
- Frozen Account
- Full Service Broker
- Gambling
- General Obligation Bond
- Government Bond
- Government Obligations
- Government Securities Broker
- Grand Jury
- Growth and Income Fund
- Growth Fund
- Growth Stock
- Guilty
- Guilty Plea
- Habeas Corpus
- Hate Crime
- Health Care Fraud
- Hearing
- Hearsay
- Hedge Fund
- Hedging
- High Grade Bond
- High Net Worth (HNW) Person
- High Premium Convertible Debenture
- High-Tech Stock
- High Yield Bond
- Historical Trading Range
- Historical Yield
- Home Confinement
- Homicide
- Hung Jury
- Hybrid Annuity
- Identity Theft
- Immunity
- Impeachment
- Incarceration
- Income Bond
- Income Mutual Fund
- Income Shares
- Income Statement
- Income Stock
- Incriminate
- Inculpatory Evidence
- Independent Broker
- Index
- Index Fund
- Indexing
- Indictment
- Indigent
- Individual Retirement Account (IRA)
- Information
- Infraction
- Initial Appearance
- Initial Public Offering (IPO)
- Innocent
- Insanity
- Inside Information
- Insider Trading
- Institutional Broker
- Instructions
- Insurance Fraud
- Interest
- Interest Sensitive Stock
- Internet Fraud
- Intrinsic Fraud
- Investigation
- Investment
- Investment Advisor
- Investment Advisor Registration Depository (IARD)
- Investment Advisors Act
- Investment Banker
- Investment Banking, Securities Business
- Investment Certificate
- Investment Company
- Investment Company Act Of 1940
- Investment Company Institute (ICI)
- Investment Counsel
- Investment Grade
- Investment Income
- Investment Strategy
- Involuntary Manslaughter
- IRA Rollover
- Issue
- Issued And Outstanding
- Issued Shares
- Jeopardy
- Join/Joinder
- Joint and Survivor Annuity
- Judge
- Judgment of Conviction
- Junk Bond
- Jurisdiction
- Jury Trial
- Justice of the Peace
- Justifiable Homicide
- Juvenile
- Juvenile Delinquency
- Know Your Customer
- Leniency
- Limit Price
- Limit Up, Limit Down
- Liquid Asset
- Liquidity
- Liquor Laws
- Listed Security
- Load Mutual Fund
- Load Spread Option
- Long Position
- Lump-Sum Distribution
- Mail Fraud
- Maintenance Fee
- Make A Market
- Malicious Prosecution
- Management Fee
- Manipulation
- Manslaughter
- Manslaughter by Negligence
- Margin
- Margin Account
- Margin Account Abuse
- Margin Agreement
- Margin Call
- Margin Requirement
- Market Maker
- Market Manipulation
- Market Order
- Market Price
- Market Risk
- Maturity Date
- Mayhem
- Medium Term Bond
- Mens Rea
- Mental Health Treatment
- Misdemeanor
- Misrepresentation
- Mistrial
- Mitigating Circumstances
- Mitigation
- Modification
- Money Laundering
- Money Market
- Money Market Fund
- Moody's Investment Grade
- Moody's Investors Service
- Motion
- Motion to Dismiss
- Motive
- Municipal Bond
- Municipal Bond Insurance
- Murder
- Murder and No negligent Manslaughter
- Mutual Fund
- Mutual Fund "Family"
- Naked Option
- Naked Position
- Negligent Homicide
- Nest Egg
- Net
- Net Asset Value (NAV)
- Net Assets
- New York Stock Exchange (NYSE)
- No Bill
- No Load Mutual Fund
- Non-Qualified Plan
- North American Securities Administrators Association, Inc. (NASAA)
- Not-Guilty
- Not-Guilty Plea
- Oath
- Objection
- Obligation Bond
- Odd Lot
- Odd Lot Differential
- Offender
- Offense
- Offering Date
- Offering Price
- Office Of Supervisory Jurisdiction (OSJ)
- Offshore Scams
- Omissions
- Option Agreement
- Option Fund
- Option Holder
- Option Premium
- Optional Dividend
- Options
- Orders
- Order
- Order Ticket
- OTC Bulletin Board
- Outstanding Stock
- Overconcentration
- Own Recognizance
- Pandering
- Pardon
- Parole
- Party in Interest
- Penalty
- Penny Stock
- Pension Fund
- Performance Fund
- Perjury
- Personal Recognizance
- Petty Offenses
- Pink Sheets
- Plea
- Plea Bargain
- Point
- Ponzi Scheme
- Portfolio
- Possession
- Pre-Sentence Report
- Preferred Stock
- Preliminary Prospectus
- Premium Bond
- Premium Income
- Preponderance of the Evidence
- Presentment
- Pretrial Services
- Price/Earnings Ratio (P/E)
- Prime Rate
- Principal
- Principal Amount
- Privilege Against Self-Incrimination
- Pro Se
- Probable Cause
- Probation
- Probation Officer
- Probation Report
- Procedural
- Profit
- Profit And Loss Statement (P & L)
- Prosecuting Attorney
- Prosecutor
- Prospectus
- Prostitution
- Prudent Man Rule
- Public Defender
- Public Offense
- Public Offering
- Publicly Held
- Pump and Dump
- Put Bond
- Put Option
- Pyramid Schemes
- Qualified Pension Plan or Trust
- Quarterly Report
- Quasi-criminal Action
- Qui Tam
- Racketeer Influences and Corrupt Organizations Act (RICO)
- Rap Sheet
- Rate Of Return
- Rating
- Realized Profit (or Loss)
- Reasonable Doubt
- Reasonable Suspicion
- Recidivism
- Recidivist
- Registered Options Principal (ROP)
- Registered Representative (RR)
- Registered Security
- Registration Violations
- Regulation D (Reg D)
- Regulation T (Reg T)
- REIT
- Remand
- Remanding Order
- Restitution
- Restricted Stock
- Retail House
- Retail Investor
- Return
- Return On Equity (ROE)
- Reverse Split
- Revocation
- Risk
- Risk Averse
- Risk/Reward Ratio
- Robbery
- Round Lot
- Rules Of Fair Practice
- Sales Charge
- Search and Seizure
- Search Warrant
- SEC Fee
- Secondary Market
- Sector Fund
- Securities And Exchange Commission (SEC)
- Securities Exchange Act Of 1934
- Securities Fraud
- Securities Industry Association (SIA)
- Securities Investor Protection Corporation (SIPC)
- Security
- Self-Defense
- Self Directed IRA
- Self Regulatory Organization (SRO)
- Self-Surrender
- Sell Stop Order
- Selling Short
- Senior Securities
- Sentence
- Sentencing Guidelines
- Series 7 Exam
- Settlement
- Settlement Date
- Severance
- Severance of Actions
- Sexual Harassment
- Share
- Shareholder
- Short Position
- Short Term
- Simple Assault
- Simplified Employee Pension Plan (SEP)
- Speculation
- Speculator
- Speedy Trial
- Spousal IRA
- Spread
- Stalking
- Standard & Poor's 500 Index
- State Court
- Statute
- Statute of Limitations
- Statute of Limitations
- Stock
- Stock Certificate
- Stock Dividend
- Stock Exchange
- Stock Split
- Stock Symbols
- Stockholder
- Stolen Property
- Stop Limit Order
- Stop Order
- Street Name
- Strike Price
- Sua Sponte
- Subpoena
- Substance Abuse Treatment
- Substantive
- Suitability
- Summons
- Supervised Release
- Suppress
- Surety
- Surety Bond
- Suspect
- Suspended Sentence
- Suspicion
- Switching
- Systematic Risk
- Tax Evasion
- Tax Exempt Money Market Fund
- Tax Exempt Security
- Tax Fraud
- Terrorism
- Testify
- Testimony
- Theft
- Total Return
- Trade
- Trading Authorization
- Treasury Bill (T-Bill)
- Treasury Bond (T-Bond)
- Treasury Note (T-Note)
- Unauthorized Transactions
- Underwrite
- Underwriter
- Uniform Gift To Minors Act (UGMA)
- Unit Investment Trust (UIT)
- Universal Life Insurance
- Unrealized Profit (Or Loss)
- Unsuitable Investments
- US Government Securities
- Vagrancy
- Vandalism
- Variable Annuity
- Variable Life Insurance
- Verdict
- Violation
- Violent Offenses
- Voir Dire
- Volatile
- Volatility
- Waiver of Rights Form
- Wall Street
- Warrant
- Weapons
- White Collar
- White Collar Crime
- Whole Life Insurance
- Wholesaler
- Wire Fraud
- Wire House
- Witness
- Yield
- Zero Coupon Security