Abbreviations Flashcards
1
Q
ADR/ADS
A
American depositary receipt (share)
2
Q
AIR
A
assumed interest rate
3
Q
APO
A
additional public offering
4
Q
AMTI
A
alternative minimum taxable income
5
Q
AUM
A
assets under management
6
Q
BCP
A
business continuity plan
7
Q
BD
A
Broker-dealer
8
Q
BSA
A
Bank Security Act bushel
9
Q
BU
A
bushel
10
Q
CD
A
certificate of deposit
11
Q
CEF
A
closed end fund
12
Q
CEO
A
chief exucutive officer
13
Q
CIP
A
customer identification program
14
Q
CMO
A
collateralized mortgage obligation
15
Q
CMV
A
current market value
16
Q
CODA
A
cash or deferred arrangement
17
Q
COGS
A
cost of goods sold
18
Q
CPI
A
Consumer Price Index
19
Q
CTFC
A
Commodity Futures Trading Commission
20
Q
CY
A
current yield
21
Q
DCF
A
discounted cash flow
22
Q
DJIA
A
Dow Jones Industrial Average
23
Q
DMA
A
direct market access
24
Q
DMM
A
designatined market maker
25
DPP
direct participation program
26
EE
series ee savings bond
27
EIA
equity index annuity
28
ELN
equity linked note
29
EPS
earnings per share
30
ERA
expemt reporting advisor
31
ERISA
Employee Retirement Income Security Act of 1974
32
ESG
enviornmentalsocial and goverance investing
33
ETF
exchange traded fund
34
ETN
exchange traded note
35
FAC
face-amount certificate
36
Fed
Federal Reserve System
37
FDIC
Federal Deposit Insurance Corporation
38
FIFO
first in, first out
39
FINRA
Financial Industry Regulatory Authority
40
FMV
fair market value
41
FNMA
Federal National Mortgage Association
42
FOMC
Federal Open Market Committee
43
FRB
Federal Reserve Board
44
GIC
guaranteed investment contract
45
GNMA
Government National Mortgage Association
46
GDP
gross domestic product
47
GO
general obligation bond
48
HFT
high-frequency trading
49
HNW
high net worth
50
IA
investment adviser
51
IAR
investment adviser representative
52
IARD
Investment Adviser Registration Depository
53
IPO
initial public offering
54
IRA
individual retirement account
55
IRC
Internal Revenue Code
56
IRS
Internal Revenue Service
57
JTIC
joint tenants in common
58
JTWROS
joint tenants with right of survivorship
59
LIFO
last in, first out
60
LOI
letter of intent
61
MNPI
Material nonpublic information
62
MRD
minimum required distribution
63
MSRB
Municipal Securities Rulemaking Board
64
NASAA
North American Securities Administrators Association
65
Nasdaq
National Association of Securities Dealers Automated Quotation system
66
NAV
net asset value
67
NIRP
negative interest-rate policy
68
NL
no load
69
NYSE
New York Stock Exchange
70
OTC
over the counter
71
PE
price-to-earnings ratio
72
PII
personally identifiable information
73
POA
power of attorney
74
POD
pay on death
75
POP
public offering price
76
RAUM
regulatory assets under management
77
REIT
real estate investment trust
78
RF
risk-free rate
79
SEC
Securities and Exchange Commission
80
SEP
simplified employee pension plan
81
SERP
supplemental executive retirement plan
82
SIPC
Securities Investor Protection Corporation
83
SPO
subsequent public offering
84
SRO
self-regulatory organization
85
STRIPS
Separate Trading of Registered Interest and Principal of Securities
86
TBE
tenants by the entirety
87
TIC
tenants in common
88
TOD
transfer on death
89
TSA
tax-sheltered annuity
90
TVA
Tennessee Va I ley Authority
91
UGMA/UTMA
Uniform Gift (Transfers) to Minors Act
92
UIT
unit investment trust
93
UPIA
Uniform Prudent Investors Act
94
USA
Uniform Securities Act
95
UVL
universal variable life insurance
96
VLI
variable life insurance
97
VLD
yield
98
VTC
yield to call
99
VTM
yield to maturity
100
ZIRP
zero interest-rate policy
101
ZR
zero-coupon
