Abbreviations Flashcards
1
Q
ADR/ADS
A
American depository 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
9
Q
BU
A
Bushel
10
Q
CD
A
Certificate of Deposit
11
Q
CEF
A
Closed-end Fund
12
Q
CFTC
A
Commodity Futures Trading Commission
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 Good Sold
18
Q
CPI
A
Consumer Price Index
19
Q
CY
A
Current Yield
20
Q
DCF
A
Discounted Cash Flow
21
Q
DJIA
A
Dow Jones Industrial Average
22
Q
DMA
A
Direct Market Access
23
Q
DMM
A
Designated Market Maker
24
Q
DPP
A
Direct Participation Program
25
EE
Series EE Savings Bonds
26
EIA
Equity Index Annuity
27
ELN
Equity Linked Note
28
EPS
Earnings Per Share
29
ERA
Exempt Reporting Advisor
30
ERISA
Employee Retirement Income Security Act of 1974
31
ESG
Environmental, Social, and governance investing
32
ETF
Exchange-traded fund
33
ETN
Exchange-traded note
34
FAC
Face-amount Certificate
35
Fed
Federal Reserve System
36
FDIC
Federal deposit insurance corporation
37
FIFO
First in, first out
38
FINRA
Financial industry regulatory authority
39
FMV
Fair market value
40
FNMA
Federal national mortgage association
41
FOMC
Federal Open Market Committee
42
FRB
Federal Reserve board
43
GDP
Gross domestic product
44
GIC
Guaranteed investment contract
45
GNMA
Government National mortgage association
46
GO
General obligation bond
47
HFT
High-frequency trading
48
HNW
High net worth
49
IA
Investment adviser
50
IAR
Investment adviser representative
51
IARD
Investment adviser registration depository
52
IPO
Initial public offering
53
IRA
Individual Retirement Account
54
IRC
Internal revenue code
55
IRS
Internal Revenue Service
56
JTIC
Joint tenants in common
57
JTWROS
Joint tenants with right of survivorship
58
LIFO
Last in, first out
59
LOI
Letter of intent
60
MNPI
Material nonpublic information
61
MRD
Minimum required distribution
62
MSRB
Municipal Securities Rulemaking Board
63
NASAA
North American securities administrators association
64
Nasdaq
National association of securities dealers automated quotation system
65
NAV
Net asset value
66
NIRP
Negative interest-rate policy
67
NL
No load
68
NYAE
New York stock exchange
69
OTC
Over the counter
70
PE
Price-to-earnings ratio
71
PII
Personally identifiable information
72
POA
Power of attorney
73
POD
Payable on death
74
POP
Public offering price
75
RAUM
Regulatory assets under management
76
REIT
Real estate investment trust
77
RF
Risk-free rate
78
SEC
Securities and exchange commission
79
SEP
Simplified employee pension plan
80
SERP
Supplemental executive retirement plan
81
SIPC
Securities investor protection corporation
82
SPO
Subsequent public offering
83
SRO
Self-regulatory organization
84
STRIPS
Separate trading of registered interest and principal of securities
85
TBE
Tenants by the entirety
86
TIC
Tenants in common
87
TOD
Transfer on death
88
TSA
Tax-sheltered annuity
89
TVA
Tennessee valley authority
90
UGMA/UTMA
Uniform Gift (transfer) to minors act
91
UIT
Unit investment trust
92
UPIA
Uniform prudent investors act
93
USA
Uniform securities act
94
UVL
Universal variable life insurance
95
VLI
Variable life insurance
96
YLD
Yield
97
YTC
Yield to call
98
YTM
Yield to maturity
99
ZIRP
Zero interest-rate policy
100
ZR
Zero coupon
