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29 Cards in this Set
- Front
- Back
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SRO
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Self Regulatory Organizations -
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OCC
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Options Clearing Corporation
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CRD
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Central Registration Depository -
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IARD
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Investment Adviser Registration Depository -
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Form U4
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FINRA Uniform application for Securities registration transfer
30 days to transmit |
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Form U5
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FINRA Uniform termination notice for Securities Registration
30 days to inform/transmit |
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OTC
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Over the Counter - Traded other than a primary market (Big3)
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ADF
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Alternative Display Facility operated by FINRA
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ECN
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Electronic Communication Network - Used to connect all players together (no middleman)
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SEC
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Securities and Exchange Commission -
Protect Investors Maintain fair and effecient Markets Facilitate Capital Formation |
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NASD
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National Association of Securities Dealers
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CHX
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Chicago Stock Exchange
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NSX
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National Stock Exchange
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NYSE Euronext
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NYSE ARCA NYSE Amex
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CBSX
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CBOE Stock Exchange
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CBOE
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Chicago Board Options Exchange
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C2 Options Exchange
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Holding of CBOE
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NASDAQ OMX
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BOX PHLX PSX
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FINRA
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Financial Industry Regulatory Authority - Merge of NYSE and NASD enforcement arms. FINRA is the largest independent regulator and an SRO. FINRA funded through member firms.
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NASD
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National Association of Securities Dealers
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ISE
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International Securities Exchange
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BATS
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BZX
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Direct Edge
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EDGA EDGX
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OCC
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Options Clearing Corp - Largest Equity Derivative clearing Corp
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DTCC
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Depository Trust and Clearing Corp - clearing and settlement for bonds, gov securities.
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DTC
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Depository Trust Company - Subsid of DTCC
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SAR
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Stock Appreciation Right - for employees to benefit from stock rise
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OPRA
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Options Price Reporting Authority - Provides last sale info and current quotes from participant exhcanges
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CFTC
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Commodity Futures Trading Commision - Independent agency of us government
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