Securities/Investment
- 12B-1 Fees
- Accredited Investor
- Advance Fee Scam
- After-tax Real Rate of Return
- Agency Transaction
- Aggressive Growth Fund
- Analyst
- Annual Meeting
- Annual Report
- Annuitant
- Annuity
- Annuity
- Answer
- Antitrust
- Appreciation
- Approved List
- Arbitrage
- Arbitral Immunity
- Arbitration
- Arbitrator
- Arms Length Transaction
- Asset
- Asset Allocation
- Asset Management Account (AMA)
- Asset Manager
- Associated Person
- Award
- Balance Sheet
- Balloon
- Bear and Bull Markets
- Bearer Bond
- Beneficiary
- Best Execution Requirement
- Block
- Block Trade
- Blue-Sky Laws
- Bond
- Book-Entry Securities
- Branch Office
- Branch Office Manager (BOM)
- Breach of Fiduciary Duty
- Breach of Promise/Contract
- Broker
- Broker-Dealer
- Bucket Shop
- Bucketing
- Bull and Bear Markets
- Buying On Margin
- Call Option
- Capital Gain
- Capital Gains Distribution
- Capital Loss
- Cash Account
- Central Registration Depository (CRD)
- Certificate
- Certificate Of Deposit (CD)
- Certified Financial Planner
- Certified Public Accountant
- Churning
- Claim
- Commissions
- Commodities
- Common Stock
- Community Property
- Confirmation
- Consumer Price Index (CPI)
- Convertible Bond
- Cooling Off Period
- Corporate Bond
- Corporate Bond
- Corporation
- Coupon Bond
- Custodial Account
- Custodian
- Custodian Trustee
- Customer Agreement
- Debenture
- Debt
- Debt Instrument
- Deferral of Taxes
- Deferred Account
- Deferred Annuity
- Deferred Interest Bond
- Deficiency Letter
- Defined Benefit Pension Plan
- Deflation
- Depreciation
- Depression
- Derivative Instrument
- Designations
- Direct Public Offering
- Discount Broker
- Discount Rate
- Discretionary Account
- Discretionary Order
- Discretionary Trust
- Distributions
- Diversification
- Diversified Investment Company
- Dividend
- Dividend Record
- Dividend Reinvestment Plan (DRIP)
- Dividend Yield
- Dollar Bond
- Dollar Cost Averaging
- Dow Jones Composite
- Dow Jones Industrial Average (DJIA)
- Dow Jones Transportation Average (DJTA)
- Due Diligence
- 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
- Embezzlement
- Employee Retirement Income Security Act (ERISA)
- Equity
- Equity REIT
- Estate Tax
- Execution
- Exempt Securities
- Exercise Limit
- Exercise Price
- Exit Fee
- Expense Ratio
- Expiration
- Expiration Date
- Face Value
- Failure to Execute Trades
- Failure to Supervise
- Fair Market Value
- Family of Funds
- Fiduciary
- Financial Industry Regulatory Authority (FINRA)
- Financial Pyramid
- Financial Statement
- Fitch's Rating Service
- Fixed Annuity
- Fixed Income Investment
- Form 10 K
- Form ADV
- Front-End Load
- Front Running
- Frozen Account
- Full Service Broker
- General Obligation Bond
- Government Bond
- Government Obligations
- Government Securities Broker
- Growth and Income Fund
- Growth Fund
- Growth Stock
- 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
- Hybrid Annuity
- Illiquid
- Income Bond
- Income Mutual Fund
- Income Shares
- Income Statement
- Income Stock
- Independent Broker
- Index
- Index Fund
- Indexing
- Individual Retirement Account (IRA)
- Initial Public Offering (IPO)
- Inside Information
- Insider Trading
- Institutional Broker
- Interest
- Interest Sensitive Stock
- 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
- IRA Rollover
- Issue
- Issued And Outstanding
- Issued Shares
- Joint and Survivor Annuity
- Junk Bond
- Know Your Customer
- Limit Price
- Limit Up, Limit Down
- Liquid Asset
- Liquidity
- Listed Security
- Load
- Load Mutual Fund
- Load Spread Option
- Long Position
- Lump-Sum Distribution
- Maintenance Fee
- Make A Market
- Management Fee
- Manipulation
- Margin
- Margin Account
- Margin Account Abuse
- Margin Agreement
- Margin Call
- Margin Requirement
- Market Maker
- Market Manipulation
- Market Order
- Market Price
- Market Risk
- Maturity Date
- Medium Term Bond
- Misrepresentation
- Money Market
- Money Market Fund
- Moody's Investment Grade
- Moody's Investors Service
- Municipal Bond
- Municipal Bond Insurance
- Mutual Fund
- Mutual Fund "Family"
- Naked Option
- Naked Position
- National Association Of Securities Dealers Automatic Quotations (NASDAQ)
- Nest Egg
- Net
- Net Asset Value (NAV)
- Net Assets
- New York Stock Exchange (NYSE)
- No Load Mutual Fund
- Non-Qualified Plan
- North American Securities Administrators Association, Inc. (NASAA)
- Obligation Bond
- Odd Lot
- Odd Lot Differential
- 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 Ticket
- OTC Bulletin Board
- Outstanding Stock
- Over The Counter (OTC)
- Overconcentration
- Penny Stock
- Pension Fund
- Performance Fund
- Pink Sheets
- Point
- Ponzi Scheme
- Portfolio
- Preferred Stock
- Preliminary Prospectus
- Premium Bond
- Premium Income
- Price/Earnings Ratio (P/E)
- Prime Rate
- Principal
- Principal Amount
- Profit
- Profit And Loss Statement (P & L)
- Prospectus
- Prudent Man Rule
- Public Offering
- Publicly Held
- Pump and Dump
- Put Bond
- Put Option
- Pyramid Schemes
- Qualified Pension Plan or Trust
- Quarterly Report
- Rate Of Return
- Rating
- Realized Profit (or Loss)
- Registered Options Principal (ROP)
- Registered Representative (RR)
- Registered Security
- Registration Violations
- Regulation D (Reg D)
- Regulation T (Reg T)
- REIT
- Restricted Stock
- Retail House
- Retail Investor
- Return On Equity (ROE)
- Reverse Split
- Risk
- Risk Averse
- Risk/Reward Ratio
- Round Lot
- Rules Of Fair Practice
- Sales Charge
- SEC Fee
- Secondary Market
- Sector Fund
- Securities And Exchange Commission (SEC)
- Securities Exchange Act Of 1934
- Securities Industry Association (SIA)
- Securities Investor Protection Corporation (SIPC)
- Security
- Self Directed IRA
- Self Regulatory Organization (SRO)
- Sell Stop Order
- Selling Short
- Senior Securities
- Series 7 Exam
- Settlement
- Settlement Date
- Shareholder
- Short Position
- Short Term
- Simplified Employee Pension Plan (SEP)
- Speculation
- Speculator
- Spousal IRA
- Spread
- Standard & Poor's 500 Index
- Statute of Limitations
- Stock
- Stock Certificate
- Stock Dividend
- Stock Exchange
- Stock Split
- Stock Symbols
- Stockholder
- Stop Limit Order
- Stop Order
- Street Name
- Strike Price
- Suitability
- Switching
- Systematic Risk
- Tax Exempt Money Market Fund
- Tax Exempt Security
- 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
- Variable Annuity
- Variable Life Insurance
- Volatile
- Volatility
- Wall Street
- Whole Life Insurance
- Wholesaler
- Wire House
- Yield
- Zero Coupon Security