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Series 65 > Abbreviations > Flashcards

Abbreviations Flashcards

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Series 65 flashcards
1
Q

ADR/ADS

A

American Depository Receipt (Share)

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2
Q

AIR

A

Assumed Interest Rate

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3
Q

APO

A

Additional Public Offering

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4
Q

ATS

A

Alternative Trading System

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5
Q

AUM

A

Assets Under Management

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6
Q

BA

A

Banker’s Acceptance

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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

CEO

A

Chief Executive Officer

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10
Q

CMO

A

Collateralized Mortgage Obligation

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11
Q

CMV

A

Current Market Value

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12
Q

COGS

A

Cost of Goods Sold

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13
Q

CPI

A

Consumer Price Index

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14
Q

CTFC

A

Commodity Futures Trading Commission

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15
Q

CY

A

Current Yield

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16
Q

DCF

A

Discounted Cash Flow

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17
Q

DJIA

A

Dow Jones Industrial Average

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18
Q

DMA

A

Direct Market Access

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19
Q

DMM

A

Designated Market Maker

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20
Q

DPP

A

Direct Participation Program

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21
Q

EE

A

Series EE Savings Bond

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22
Q

EIA

A

Equity Index Annuity

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23
Q

EPS

A

Earnings Per Share

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24
Q

ERA

A

Exempt Reporting Adviser

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25
Q

ERISA

A

Employee Retirement Income Security Act of 1974

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26
Q

ETF

A

Exchange Traded Fund

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27
Q

FAC

A

Face-Amount Certificate

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28
Q

FED

A

Federal Reserve System

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29
Q

FDIC

A

Federal Deposit Insurance Corporation

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30
Q

FIFO

A

First In, First Out

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31
Q

FINRA

A

Financial Industry Regulatory Authority

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32
Q

FMV

A

Fair Market Value

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33
Q

FNMA

A

Federal National Mortgage Association

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34
Q

FOMC

A

Federal Open Market Committee

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35
Q

FRB

A

Federal Reserve Board

36
Q

GIC

A

Guaranteed Investment Contract

37
Q

GNMA

A

Government National Mortgage Association

38
Q

GDP

A

Gross Domestic Product

39
Q

GO

A

General Obligation Bond

40
Q

HFT

A

High Frequency Trading

41
Q

HNW

A

High Net Worth

42
Q

IA

A

Investment Adviser

43
Q

IAR

A

Investment Adviser Representative

44
Q

IARD

A

Investment Adviser Registration Depository

45
Q

IPO

A

Initial Public Offering

46
Q

IRA

A

Individual Retirement Account

47
Q

IRC

A

Internal Revenue Code

48
Q

IRS

A

Internal Revenue Service

49
Q

JTIC

A

Joint Tenants in Common

50
Q

JTWROS

A

Joint Tenants with Right of Survivorship

51
Q

LIFO

A

Last In, First Out

52
Q

LOI

A

Letter of Intent

53
Q

MRD

A

Minimum Required Distribution

54
Q

MSRB

A

Municipal Securities Rulemaking Board

55
Q

NASAA

A

North American Securities Administrators Association

56
Q

NASDAQ

A

National Association of Securities Dealers Automated Quotation System

57
Q

NAV

A

Net Asset Value

58
Q

NIRP

A

Negative Interest-Rate Policy

59
Q

NL

A

No Load

60
Q

NYSE

A

New York Stock Exchange

61
Q

OTC

A

Over the Counter

62
Q

PE

A

Price-to-Earnings Ratio

63
Q

POA

A

Power of Attorney

64
Q

POD

A

Pay on Death

65
Q

POP

A

Public Offering Price

66
Q

REIT

A

Real Estate Investment Trust

67
Q

RF

A

Risk-Free Rate

68
Q

SEC

A

Securities and Exchange Commission

69
Q

SEP

A

Simplified Employee Pension Plan

70
Q

SIPC

A

Securities Investor Protection Corporation

71
Q

SPO

A

Subsequent Public Offering

72
Q

SRO

A

Self-Regulatory Organization

73
Q

STRIPS

A

Separate Trading of Registered Interest and Principal of Securities

74
Q

TIC

A

Tenants in Common

75
Q

TOD

A

Transfer on Death

76
Q

TSA

A

Tax-Sheltered Annuity

77
Q

TVA

A

Tennessee Valley Authority

78
Q

UGMA/UTMA

A

Uniform Gift (Transfers) to Minors Act

79
Q

UIT

A

Unit Investment Trust

80
Q

UVL

A

Universal Variable Life Insurance

81
Q

VLI

A

Variable Life Insurance

82
Q

YLD

A

Yield

83
Q

YTC

A

Yield to Call

84
Q

YTM

A

Yield to Maturity

85
Q

ZIRP

A

Zero Interest-Rate Policy

86
Q

ZR

A

Zero-Coupon

Series 65 (3 decks)

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