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SIE > Abbreviations > Flashcards

Abbreviations Flashcards

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SIE Exam flashcards
1
Q

ADR

A

American Depositary receipt

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2
Q

AIR

A

Assumed Interest Rate

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3
Q

BA

A

Bankers Acceptance

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4
Q

BD

A

Broker Dealer

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5
Q

BDC

A

Business Development (growth) Company

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6
Q

CD

A

Certificate of Deposit

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7
Q

CDO

A

Collateralized Debt Obligation

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8
Q

CEO

A

chief executive officer

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9
Q

CMO

A

Collateralized mortgage obligation

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10
Q

CMV

A

current market value

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11
Q

COP

A

code of procedure

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12
Q

CPI

A

Consumer price index

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13
Q

CY

A

current yield

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14
Q

DBCC

A

district business conduct committee

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15
Q

DEA

A

designated examining authority

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16
Q

DJIA

A

Dow Jones Industrial Average

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17
Q

EE

A

Series EE savings bonds

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18
Q

EPS

A

earnings per share

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19
Q

ERISA

A

Employee Retirement Income Security Act of 1974

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20
Q

ETF

A

exchange-traded fund

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21
Q

FAC

A

face-amount certificate

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22
Q

FED

A

Federal Reserve System

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23
Q

FDIC

A

Federal Deposit Insurance Corporation

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24
Q

FGIC

A

Financial Guaranty Insurance Company

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25
Q

FIFO

A

first-in, first-out

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26
Q

FINRA

A

Financial Industry Regulatory Authority

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27
Q

FNMA

A

Federal National Mortgage Association

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28
Q

FOMC

A

federal open market committee

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29
Q

FRB

A

Federal Reserve Board

30
Q

GNMA

A

government national mortgage association

31
Q

GDP

A

gross domestic product

32
Q

GO

A

general obligation bond

33
Q

HH

A

series HH savings bond

34
Q

HSA

A

health savings account

35
Q

IDR/IDB

A

industrial development revenue bond

36
Q

IPO

A

initial public offering

37
Q

IRA

A

individual retirement account

38
Q

IRC

A

internal revenue code

39
Q

IRS

A

internal revenue service

40
Q

JTIC

A

joint tenants in common

41
Q

JTWROS

A

joint tenants with right of survivorship

42
Q

LIFO

A

last-in, first-out

43
Q

MSRB

A

municipal securities rule making board

44
Q

Nasdaq

A

National Association of Securities Dealers Automated Quotation system

45
Q

NAV

A

net asset value

46
Q

NHA

A

New Housing Authority

47
Q

NL

A

no load

48
Q

NYSE

A

New York Stock Exchange

49
Q

OSJ

A

office of supervisory jurisdiction

50
Q

OTC

A

over the counter

51
Q

PE

A

price-to-earnings ratio

52
Q

PHA

A

Public Housing Authority

53
Q

POP

A

public offering price

54
Q

REIT

A

real estate investment trust

55
Q

RR

A

registered representative

56
Q

SAI

A

statement of additional information

57
Q

SEC

A

Securities and Exchange Commission

58
Q

SEP

A

simplified employee pension plan

59
Q

SIPC

A

Securities Investor Protection Corporation

60
Q

SRO

A

self-regulatory organization

61
Q

T + 2

A

trade date plus two business days’ settlement

62
Q

TCPA

A

Telephone Consumer Protection Act

63
Q

TSA

A

tax-sheltered annuity

64
Q

UGMA/UTMA

A

Uniform Gift (Transfers) to Minors Act

65
Q

UIT

A

unit investment trust

66
Q

UPC

A

Uniform Practice Code

67
Q

YLD

A

yield

68
Q

YTC

A

yield to call

69
Q

YTM

A

yield to call

70
Q

ZR

A

zero-coupon

SIE (2 decks)

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