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Series 65: Uniform Investment Advisor Law Exam > Abbreviations > Flashcards

Abbreviations Flashcards

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1
Q

ADR/ADS

A

American depository receipt

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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

AMTI

A

alternative maximum taxable income

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5
Q

AUM

A

assets under management

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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

BSA

A

Bank Security Act

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9
Q

BU

A

bushel

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10
Q

CD

A

certificate of deposit

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11
Q

CEF

A

closed-end fund

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12
Q

CEO

A

chief executive officer

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13
Q

CIP

A

customer identification program

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14
Q

CMO

A

collateralized mortgage obligation

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15
Q

CMV

A

current market value

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16
Q

CODA

A

cash or deferred arrangement

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17
Q

COGS

A

cost of goods sold

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18
Q

CPI

A

Consumer Price Index

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19
Q

CTFC

A

Commodity Futures Trading Commission

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20
Q

CY

A

current yield

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21
Q

DCF

A

discounted cash flow

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22
Q

DJIA

A

Dow Jones Industrial Average

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23
Q

DMA

A

direct market access

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24
Q

DMM

A

Designated Market Maker

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25
Q

DPP

A

direct participation program

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26
Q

EE

A

Series EE savings bonds

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27
Q

EIA

A

equity index annuity

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28
Q

ELN

A

equity linked note

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29
Q

EPS

A

earnings per share

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30
Q

ERA

A

exempt reporting adviser

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31
Q

ERISA

A

Employee Retirement Income Security Act of 1974

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32
Q

ESG

A

environment, social, and governance investing

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33
Q

ETF

A

exchange traded fund

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34
Q

ETN

A

exchange traded note

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35
Q

FAC

A

face-amount certificate

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36
Q

Fed

A

Federal Reserve System

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37
Q

FDIC

A

Federal Deposit Insurance Corporation

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38
Q

FIFO

A

first in, first out

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39
Q

FINRA

A

Financial Industry Regulatory Authority

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40
Q

FMV

A

fair market value

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41
Q

FNMA

A

Federal National Mortgage Association

42
Q

FOMC

A

Federal Open Market Committee

43
Q

FRB

A

Federal Reserve Board

44
Q

GIC

A

guaranteed investment contract

45
Q

GNMA

A

Government National Mortgage Association

46
Q

GDP

A

gross domestic product

47
Q

GO

A

general obligation bond

48
Q

HFT

A

high-frequency trading

49
Q

HNW

A

high net worth

50
Q

IA

A

investment adviser

51
Q

IAR

A

investment adviser representative

52
Q

IARD

A

Investment Adviser Registration Depository

53
Q

IPO

A

initial public offering

54
Q

IRA

A

individual retirement account

55
Q

IRC

A

Internal Revenue Code

56
Q

IRS

A

Internal Revenue Service

57
Q

JTIC

A

joint tenants in common

58
Q

JTWROS

A

joint tenants with rights of survivorship

59
Q

LIFO

A

last in, first out

60
Q

LOI

A

letter of intent

61
Q

MNPI

A

Material nonpublic information

62
Q

MRD

A

minimum required distribution

63
Q

MSRB

A

Municipal Securities Rulemaking Board

64
Q

NASAA

A

North American Securities Administrators Association

65
Q

Nasdaq

A

National Association of Securities Dealers Automated Quotation System

66
Q

NAV

A

net asset value

67
Q

NIRP

A

negative interest-rate policy

68
Q

NL

A

no load

69
Q

NYSE

A

New York Stock Exchange

70
Q

OTC

A

over the counter

71
Q

PE

A

price-to-earnings ratio

72
Q

PII

A

personally identifiable information

73
Q

POA

A

power of attorney

74
Q

POD

A

pay on death

75
Q

POP

A

public offering price

76
Q

RAUM

A

regulatory assets under management

77
Q

REIT

A

real estate investment trust

78
Q

RF

A

risk-free rate

79
Q

SEC

A

Securities and Exchange Commission

80
Q

SEP

A

simplified employee pension plan

81
Q

SERP

A

supplemental executive retirement plan

82
Q

SIPC

A

Securities Investor Protection Corporation

83
Q

SPO

A

subsequent public offering

84
Q

SRO

A

self-regulatory organization

85
Q

STRIPS

A

Separate Trading of Registered Interest and Principal of Securities

86
Q

TBE

A

tenants by entirety

87
Q

TIC

A

tenants in common

88
Q

TOD

A

transfer on death

89
Q

TSA

A

tax-sheltered annuity

90
Q

TVA

A

Tennessee Valley Authority

91
Q

UGMA/UTMA

A

Uniform Gift (Transfers) to Minors Act

92
Q

UIT

A

unit investment trust

93
Q

UPIA

A

Uniform Prudent Investors Act

94
Q

USA

A

Uniform Securities Act

95
Q

UVL

A

universal variable life insurance

96
Q

VLI

A

variable life insurance

97
Q

YLD

A

yield

98
Q

YTC

A

yield to call

99
Q

YTM

A

yield to maturity

100
Q

ZIRP

A

zero interest-rate policy

101
Q

ZR

A

zero-coupon

Series 65: Uniform Investment Advisor Law Exam (9 decks)

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