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Series 66 > Abbreviations > Flashcards

Abbreviations Flashcards

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Series 66 flashcards
1
Q

AIR

A

Assumed Interest Rate

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2
Q

APO

A

Additional Public Offering

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3
Q

ATS

A

Alternative Trading System

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4
Q

AUM

A

Assets Under Management

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5
Q

BA

A

Banker’s Acceptance

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6
Q

BCP

A

Business Continuity Plan

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7
Q

BD

A

Broker-Dealer

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8
Q

CD

A

Certificate of Deposit

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9
Q

CEF

A

Closed-End Fund

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10
Q

CEO

A

Chief Executive Officer

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11
Q

CIP

A

Customer Identification Program

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12
Q

CMO

A

Collateralized Mortgage Obligation

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13
Q

CMV

A

Current Market Value

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14
Q

CPI

A

Consumer Price Index

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15
Q

CFTC

A

Commodity Futures Trading Commission

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16
Q

CY

A

Current Yield

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17
Q

DCF

A

Discounted Cash Flow

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18
Q

DJIA

A

Dow Jones Industrial Average

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19
Q

DMA

A

Direct Market Access

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20
Q

DMM

A

Designated Market Maker

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21
Q

DPP

A

Direct Participation Program

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22
Q

EE

A

Series EE savings bond

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23
Q

EIA

A

Equity Index Annuity

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24
Q

ELN

A

Equity-Linked Note

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25
Q

EPS

A

Earning Per Share

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26
Q

ERA

A

Exempt Reporting Adviser

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27
Q

ERISA

A

Employee Retirement Income Security Act of 1974

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28
Q

ETF

A

Exchange Traded Fund

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29
Q

ETN

A

Equity-Traded Note

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30
Q

FAC

A

Face Amount Certificate

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31
Q

Fed

A

Federal Reserve System

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32
Q

FDIC

A

Federal Deposit Insurance Corporation

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33
Q

FIFO

A

First In, First Out

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34
Q

FINRA

A

Financial Industry Regulatory Authority

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35
Q

FMV

A

Fair Market Value

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36
Q

FNMA

A

Federal National Mortgage Association

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37
Q

FOMC

A

Federal Open Market Committee

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38
Q

FRB

A

Federal Reserve Board

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39
Q

GDP

A

Gross Domestic Product

40
Q

GIC

A

Guaranteed Investment Contract

41
Q

GNMA

A

Government National Mortgage Association

42
Q

GO

A

General Obligation bond

43
Q

HFT

A

High Frequency Trading

44
Q

HNW

A

High Net Worth

45
Q

IA

A

Investment Adviser

46
Q

IAR

A

Investment Adviser Representative

47
Q

IARD

A

Investment Adviser Registration Depository

48
Q

IPO

A

Initial Public Offering

49
Q

IRA

A

Individual Retirement Account

50
Q

IRC

A

Internal Revenue Code

51
Q

IRS

A

Internal Revenue Service

52
Q

JTIC

A

Joint Tenants In Common

53
Q

JTWROS

A

Joint Tenants With Rights Of Survivorship

54
Q

LIFO

A

Last In, First Out

55
Q

LOI

A

Letter Of Intent

56
Q

MSRB

A

Municipal Securities Rulemaking Board

57
Q

NASAA

A

North American Securities Administrators Association

58
Q

Nasdaq

A

National Association of Securities Dealers Automated Quotation system

59
Q

NAV

A

Net Asset Value

60
Q

NIRP

A

Negative Interest Rate Policy

61
Q

NL

A

No Load

62
Q

NYSE

A

New York Stock Exchange

63
Q

OTC

A

Over The Counter

64
Q

PE

A

Price to Earnings ratio

65
Q

PII

A

Personally Identifiable Information

66
Q

POA

A

Power Of Attorney

67
Q

POD

A

Payable On Death

68
Q

REIT

A

Real Estate Investment Trust

69
Q

RF

A

Risk-Free rate

70
Q

SEC

A

Securities Exchange Commission

71
Q

SEP

A

Simplified Employee Pension plan

72
Q

SIPC

A

Securities Investor Protection Corporation

73
Q

SPO

A

Subsequent Public Offering

74
Q

SRO

A

Self-Regulatory Organization

75
Q

STRIPS

A

Separate Trading of Registered Interest and Principal of Securities

76
Q

TIC

A

Tenants In Common

77
Q

TOD

A

Transfer On Death

78
Q

TSA

A

Tax-Sheltered Annuity

79
Q

TVA

A

Tennessee Valley Authority

80
Q

UGMA

A

Uniform Gift to Minors Act

81
Q

UTMA

A

Uniform Transfer to Minors Act

82
Q

UIT

A

Unit Investment Trust

83
Q

UVL

A

Universal Variable Life insurance

84
Q

VLI

A

Variable Life Insurance

85
Q

YLD

A

Yield

86
Q

YTC

A

Yield To Call

87
Q

YTM

A

Yield To Maturity

88
Q

ZIRP

A

Zero Interest Rate Policy

89
Q

ZR

A

Zero Coupon

90
Q

UPIA

A

Uniform Prudent Investor Act

91
Q

ILIT

A

Irrevocable Life Insurance Trust

92
Q

DNI

A

Distributable Net Income

93
Q

CAPM

A

Capital Asset Pricing Model

94
Q

EMH

A

Efficient Market Hypothesis

95
Q

DRIP

A

Dividend Reinvestment Plan

96
Q

EAFE

A

Europe, Australasia and Far East index

Series 66 (3 decks)

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