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75 Cards in this Set

  • Front
  • Back
ADR/ADS
American depositary receipt (share)
AIR
assumed interest rate
AMBAC
AMBAC Indemnity Corporation
AP
associated person
BA
banker's acceptance
BD
broker-dealer
CD
certificate of deposit
CEO
chief exective officer
CMO
collateralized mortgage obligation
CMV
current market value
COP
Code of Procedure
CPI
Consumer Price Index
CQS
Consolidated Quotation System
CY
current yield
DBCC
District Business Conduct Committee
DEA
designated examining authority
DJIA
Dow Jones Industrial Average
EE
Series EE savings bond
EPS
earnings per share
ERISA
Employee Retirement Income Security Act of 1974
FAC
face amount certificate
Fed
Federal Reserve System
FDIC
Federal Deposit Insurance Corporation
FIFO
first in, first out
FMV
fair market value
FNMA
Federal National Mortgage Association
FOMC
Federal Open Market Committee
FRB
Federal Reserve Board
GNMA
Government National Mortgage Association
GDP
gross domestic product
GO
general obligation bond
HH
Series HH savings bond
IDR
industrial revenue bond
IPO
initial public offering
IRA
individual retirement account
IRC
Internal Revenue Code
IRS
Internal Revenue Service
JTIC
joint tenants in common
JTWROS
joint tenants with right of survivorship
LIFO
last in, first out
LOI
letter of intent
MBIA
Municipal Bond Investors' Assurance Corporation
MIG
Moody's investment group
MSRB
Municipal Securities Rulemaking Board
NASAA
North American Securities Administrators' Association
NASD
National Accociation of Securities Dealers, Inc.
NASDAQ
National Association of Securities Dealers Automated Quotation System
NAV
net asset value
NL
no load
NNM
Nasdaq National Market
NYSE
New York Stock Exchange
OSJ
office of supervisory jurisdiction
OTC
over the counter
PE
price-earnings ratio
POP
public offering price
REIT
real estate investment trust
RR
registered representative
SAI
statement of additional information
SEC
Securities and Exchange Commission
SEP
simplified employee pension plan
SIPC
Securities Investor Protection Corporation
SLMA
Student Loan Marketing Association
SRO
self-regulatory organization
STRIPS
Separate Trading of Registered Interest and Principal of Securities
T+3
trade date plus three business days settlement
TCPA
Telephone Consumer Protection Act of 1991
TSA
tax-sheltered annuity
USMA/UTMA
Uniform Gifts (Transfers)to Minors Act
UIT
unit investment trust
UPC
Uniform Practice Code
VLI
variable life insurance
YLD
yield
YTC
yield to call
YTM
yield to maturity
ZR
zero coupon