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
ATS
A
Alternative Trading System
5
Q
AUM
A
Assets Under Management
6
Q
BA
A
Banker’s Acceptance
7
Q
BD
A
Broker-Dealer
8
Q
CD
A
Certificate of Deposit
9
Q
CEO
A
Chief Executive Officer
10
Q
CMO
A
Collateralized Mortgage Obligation
11
Q
CMV
A
Current Market Value
12
Q
COGS
A
Cost of Goods Sold
13
Q
CPI
A
Consumer Price Index
14
Q
CTFC
A
Commodity Futures Trading Commission
15
Q
CY
A
Current Yield
16
Q
DCF
A
Discounted Cash Flow
17
Q
DJIA
A
Dow Jones Industrial Average
18
Q
DMA
A
Direct Market Access
19
Q
DMM
A
Designated Market Maker
20
Q
DPP
A
Direct Participation Program
21
Q
EE
A
Series EE Savings Bond
22
Q
EIA
A
Equity Index Annuity
23
Q
EPS
A
Earnings Per Share
24
Q
ERA
A
Exempt Reporting Adviser
25
ERISA
Employee Retirement Income Security Act of 1974
26
ETF
Exchange Traded Fund
27
FAC
Face-Amount Certificate
28
FED
Federal Reserve System
29
FDIC
Federal Deposit Insurance Corporation
30
FIFO
First In, First Out
31
FINRA
Financial Industry Regulatory Authority
32
FMV
Fair Market Value
33
FNMA
Federal National Mortgage Association
34
FOMC
Federal Open Market Committee
35
FRB
Federal Reserve Board
36
GIC
Guaranteed Investment Contract
37
GNMA
Government National Mortgage Association
38
GDP
Gross Domestic Product
39
GO
General Obligation Bond
40
HFT
High Frequency Trading
41
HNW
High Net Worth
42
IA
Investment Adviser
43
IAR
Investment Adviser Representative
44
IARD
Investment Adviser Registration Depository
45
IPO
Initial Public Offering
46
IRA
Individual Retirement Account
47
IRC
Internal Revenue Code
48
IRS
Internal Revenue Service
49
JTIC
Joint Tenants in Common
50
JTWROS
Joint Tenants with Right of Survivorship
51
LIFO
Last In, First Out
52
LOI
Letter of Intent
53
MRD
Minimum Required Distribution
54
MSRB
Municipal Securities Rulemaking Board
55
NASAA
North American Securities Administrators Association
56
NASDAQ
National Association of Securities Dealers Automated Quotation System
57
NAV
Net Asset Value
58
NIRP
Negative Interest-Rate Policy
59
NL
No Load
60
NYSE
New York Stock Exchange
61
OTC
Over the Counter
62
PE
Price-to-Earnings Ratio
63
POA
Power of Attorney
64
POD
Pay on Death
65
POP
Public Offering Price
66
REIT
Real Estate Investment Trust
67
RF
Risk-Free Rate
68
SEC
Securities and Exchange Commission
69
SEP
Simplified Employee Pension Plan
70
SIPC
Securities Investor Protection Corporation
71
SPO
Subsequent Public Offering
72
SRO
Self-Regulatory Organization
73
STRIPS
Separate Trading of Registered Interest and Principal of Securities
74
TIC
Tenants in Common
75
TOD
Transfer on Death
76
TSA
Tax-Sheltered Annuity
77
TVA
Tennessee Valley Authority
78
UGMA/UTMA
Uniform Gift (Transfers) to Minors Act
79
UIT
Unit Investment Trust
80
UVL
Universal Variable Life Insurance
81
VLI
Variable Life Insurance
82
YLD
Yield
83
YTC
Yield to Call
84
YTM
Yield to Maturity
85
ZIRP
Zero Interest-Rate Policy
86
ZR
Zero-Coupon
