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73 Cards in this Set

  • Front
  • Back
Cash reserves
Short-term money market instruments
Treasury bills
Treasury obligations with maturities of one year or less
Interest-bearing debt obligations
Treasury notes
Treasury obligations with maturities of more than 1 year but less than 10 years
Common stock
A proportionate ownership stake in a corporation
Defined-benefit retirement plan
Employer-funded retirement program. Employer will pay certain amount to employee depending on salary history and time employed
Defined-contribution retirement plan
Employee-funded retirement program in which employees direct and contribute to their own retirement plans. Retirement income depends on employee contribution
Diversified collection of stocks, bonds and other assets
Chance of a loss of wealth or a failure to meet investment goal
Expected return
Future return anticipated after analyzing the financial asset.
efficient-market hypothesis
Idea that every security is correctly priced, not overvalued or undervalued
Return on equity
Accounting net income divided by stockholders' equity or book value per share
Regression to the mean
Tendency of profit rates to return toward long-term industry and economy wide averages
Price-earnings (P/E) Ratio
Stock price divided by earnings per share
Financial reasons for inciting an action
Investor psychology
The reasons, emotions, and perceptions of the human brain as they pertain to investments
Stock Quotes
Offers to buy and sell shares at specific prices
Real time
Up-to-the-minute, current stock quote
Electronic Retrieval Analysis System for SEC filings
Ticker symbol
Unique one, two, three or four letter code for a company
10Q report
Quarterly accounting information filed with the SEC
Proxy Statement
Annual meeting announcement and shareholder voting information
Filings made to the SEC within 10 days of an entity's attaining a 5 percent or more position in any class of a company's securities
Form 144
Filings submitted to the SEC by holders of restricted stock who intend to sell shares
Financial agent who assists investors with buying and selling financial assets
Illegal broker-initiated trading in client accounts to generate commission income
Security analyst
Finance professional who analyzes and makes recommendations regarding stocks and other financial assets.
Portfolio manager
Finance professional in charge of making buy, sell, and hold decisions for a portfolio
Certified Financial Planner (CFP)
Finance professional who helps individuals identity and meet financial needs.
Investment banker
Finance professional who helps companies and government organizations acquire capital through the issuance of financial assets.
New York Stock Exchange (NYSE)
Largest stock market in terms of market capitalization
Agency auction market
Market in which brokers represent buyers and sellers and prices are determined by supply and demand
Employee of NYSE firm who manages the market for an individual stock
Round lot
American Stock Exchange (Amex)
Nation's second-largest stock exchange
Public float
Common stock held by unaffiliated institutional and individual investors
Nasdaq Stock Market
Largest organized equities market by trading volume and number of listed companies
Negotiated market
Price determination through bargaining
Market makers
Member firms that use their own capital to trade and hold an inventory of NASD stock
Customer order flow
Customer buy and sell activity
Market maker spread
Difference between bid and ask prices
Inside market
Highest bid and lowest offer prices
Nasdaq SmallCap Market
Market for smaller companies that trade prior to full listing on the Nasdaq national market
Penny stocks
Equities priced below $1
OTC Bulletin Board (OTCBB)
Regulated quotation service for very small over-the-counter equities securities
American Depositary Receipts (ADR)
Coupons that signify ownership of foreign stock
Dow Jones Industrial Averages (DJIA)
Price-weighted index of 30 large, industry-leading stocks
DJIA divisor
Adjustment factor used to account for stock splits
S&P 500 index
Popular value-weighted market index
Equity benchmark
Performance standard to be evaluated against
Russell 3000 index
Market capitalization index for the 3000 largest U.S. companies (98 percent of U.S. market cap)
Russell 1000 index
Market capitalization index for the 1000 largest U.S. companies (90 percent of U.S. market cap)
Dow Jones Wilshire 5000 Composite Index
Total dollar value of the U.S. equity market (in billions of dollars)
Nasdaq Composite Index
Market value-weighted index of all 5000+ stock listed on the Nasdaq Stock Market
Nasdaq 100 Index
Market-capitalization-weighted index of Nasdaq's largest companies
S&P MidCap 400 Index
Market cap index for 400 medium-sized domestic stocks
Dow Jones Wilshire 4500 Completion Index
Mid-cap index of Dow Jones Wilshire (5000) Index companies minus the S&P 500
Russell 2000 index
Small-company stock price index for the 2000 smallest companies in the Russell 3000 index
Nikkei 225 Index
Leading measure of the Japanese stock market
Capitalization-weighted index of the 100 top companies on the London Stock Exchange
Market basket of 35 blue-chip Canadian companies
Hang Seng Index
Market-cap-weighted measure of Hong Kong stocks
Europe, Australasia, Far east (EAFE) index
Leading global stock index of stocks from 21 countries
Emerging market
Stock markets in developing nations
Developed market
Stock markets in mature countries.
Sarbanes-Oxley Act
Law instituting public accounting reforms and investor protections
Self-regulatory organizations (SROs)
Industry group with oversight authority granted by the SEC
National Association of Securities Dealers (NASD), Inc.
A self-regulatory organization of the securities industry
Stock Watch
Computerized system that flags unusual volume or price changes
Intermarket Surveillance Group
Coordinated effort to detect cross-market manipulative trading
Securities arbitration
Private form of dispute resolution with binding outcomes
Circuit breakers
Rules for halting securities trading in volatile markets.
Investment clubs
A group formed to learn and invest. Members contribute money and investment idea.