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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
|
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AP
|
associated person
|
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BA
|
banker's acceptance
|
|
BD
|
broker-dealer
|
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CD
|
certificate of deposit
|
|
CEO
|
chief exective officer
|
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CMO
|
collateralized mortgage obligation
|
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CMV
|
current market value
|
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COP
|
Code of Procedure
|
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CPI
|
Consumer Price Index
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CQS
|
Consolidated Quotation System
|
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CY
|
current yield
|
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DBCC
|
District Business Conduct Committee
|
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DEA
|
designated examining authority
|
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DJIA
|
Dow Jones Industrial Average
|
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EE
|
Series EE savings bond
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EPS
|
earnings per share
|
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ERISA
|
Employee Retirement Income Security Act of 1974
|
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FAC
|
face amount certificate
|
|
Fed
|
Federal Reserve System
|
|
FDIC
|
Federal Deposit Insurance Corporation
|
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FIFO
|
first in, first out
|
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FMV
|
fair market value
|
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FNMA
|
Federal National Mortgage Association
|
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FOMC
|
Federal Open Market Committee
|
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FRB
|
Federal Reserve Board
|
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GNMA
|
Government National Mortgage Association
|
|
GDP
|
gross domestic product
|
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GO
|
general obligation bond
|
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HH
|
Series HH savings bond
|
|
IDR
|
industrial revenue bond
|
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IPO
|
initial public offering
|
|
IRA
|
individual retirement account
|
|
IRC
|
Internal Revenue Code
|
|
IRS
|
Internal Revenue Service
|
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JTIC
|
joint tenants in common
|
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JTWROS
|
joint tenants with right of survivorship
|
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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
|
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UIT
|
unit investment trust
|
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UPC
|
Uniform Practice Code
|
|
VLI
|
variable life insurance
|
|
YLD
|
yield
|
|
YTC
|
yield to call
|
|
YTM
|
yield to maturity
|
|
ZR
|
zero coupon
|