1
Q
AIR
A
Assumed Interest Rate
2
Q
APO
A
Additional Public Offering
3
Q
ATS
A
Alternative Trading System
4
Q
AUM
A
Assets Under Management
5
Q
BA
A
Banker’s Acceptance
6
Q
BCP
A
Business Continuity Plan
7
Q
BD
A
Broker-Dealer
8
Q
CD
A
Certificate of Deposit
9
Q
CEF
A
Closed-End Fund
10
Q
CEO
A
Chief Executive Officer
11
Q
CIP
A
Customer Identification Program
12
Q
CMO
A
Collateralized Mortgage Obligation
13
Q
CMV
A
Current Market Value
14
Q
CPI
A
Consumer Price Index
15
Q
CFTC
A
Commodity Futures Trading Commission
16
Q
CY
A
Current Yield
17
Q
DCF
A
Discounted Cash Flow
18
Q
DJIA
A
Dow Jones Industrial Average
19
Q
DMA
A
Direct Market Access
20
Q
DMM
A
Designated Market Maker
21
Q
DPP
A
Direct Participation Program
22
Q
EE
A
Series EE savings bond
23
Q
EIA
A
Equity Index Annuity
24
Q
ELN
A
Equity-Linked Note
25
EPS
Earning Per Share
26
ERA
Exempt Reporting Adviser
27
ERISA
Employee Retirement Income Security Act of 1974
28
ETF
Exchange Traded Fund
29
ETN
Equity-Traded Note
30
FAC
Face Amount Certificate
31
Fed
Federal Reserve System
32
FDIC
Federal Deposit Insurance Corporation
33
FIFO
First In, First Out
34
FINRA
Financial Industry Regulatory Authority
35
FMV
Fair Market Value
36
FNMA
Federal National Mortgage Association
37
FOMC
Federal Open Market Committee
38
FRB
Federal Reserve Board
39
GDP
Gross Domestic Product
40
GIC
Guaranteed Investment Contract
41
GNMA
Government National Mortgage Association
42
GO
General Obligation bond
43
HFT
High Frequency Trading
44
HNW
High Net Worth
45
IA
Investment Adviser
46
IAR
Investment Adviser Representative
47
IARD
Investment Adviser Registration Depository
48
IPO
Initial Public Offering
49
IRA
Individual Retirement Account
50
IRC
Internal Revenue Code
51
IRS
Internal Revenue Service
52
JTIC
Joint Tenants In Common
53
JTWROS
Joint Tenants With Rights Of Survivorship
54
LIFO
Last In, First Out
55
LOI
Letter Of Intent
56
MSRB
Municipal Securities Rulemaking Board
57
NASAA
North American Securities Administrators Association
58
Nasdaq
National Association of Securities Dealers Automated Quotation system
59
NAV
Net Asset Value
60
NIRP
Negative Interest Rate Policy
61
NL
No Load
62
NYSE
New York Stock Exchange
63
OTC
Over The Counter
64
PE
Price to Earnings ratio
65
PII
Personally Identifiable Information
66
POA
Power Of Attorney
67
POD
Payable On Death
68
REIT
Real Estate Investment Trust
69
RF
Risk-Free rate
70
SEC
Securities Exchange Commission
71
SEP
Simplified Employee Pension plan
72
SIPC
Securities Investor Protection Corporation
73
SPO
Subsequent Public Offering
74
SRO
Self-Regulatory Organization
75
STRIPS
Separate Trading of Registered Interest and Principal of Securities
76
TIC
Tenants In Common
77
TOD
Transfer On Death
78
TSA
Tax-Sheltered Annuity
79
TVA
Tennessee Valley Authority
80
UGMA
Uniform Gift to Minors Act
81
UTMA
Uniform Transfer to Minors Act
82
UIT
Unit Investment Trust
83
UVL
Universal Variable Life insurance
84
VLI
Variable Life Insurance
85
YLD
Yield
86
YTC
Yield To Call
87
YTM
Yield To Maturity
88
ZIRP
Zero Interest Rate Policy
89
ZR
Zero Coupon
90
UPIA
Uniform Prudent Investor Act
91
ILIT
Irrevocable Life Insurance Trust
92
DNI
Distributable Net Income
93
CAPM
Capital Asset Pricing Model
94
EMH
Efficient Market Hypothesis
95
DRIP
Dividend Reinvestment Plan
96
EAFE
Europe, Australasia and Far East index
Series 66
flashcards
Decks in class (3)
# Cards
