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Series 7 > Acronyms > Flashcards

Acronyms Flashcards

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Series 7 Top-off Exam flashcards
0
Q

AGI

A

Adjusted Gross Income

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1
Q

ADR

A

American Depository Receipt

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2
Q

AIR

A

Assumed Interest Rate

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3
Q

AMEX

A

American Stock Exchange

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4
Q

AMT

A

Alternative Minimum Tax

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5
Q

AON

A

All or none

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6
Q

APO

A

Additional Public Offering

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7
Q

BAN

A

Bond Anticipation Note

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8
Q

BE

A

Break Even

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9
Q

BOP

A

Balance of Payment

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10
Q

BSA

A

Bank Secrecy Act

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11
Q

CB

A

Short Credit Balance

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12
Q

CBOE

A

Chicago Board Options Exchange

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13
Q

CD

A

Certificate of Deposit

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14
Q

CDSC

A

Contingent Deferred Sales Charge

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15
Q

CESA

A

Coverdell Education Savings Accounts

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16
Q

CMO

A

Collateralized Mortgage Obligation

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17
Q

CMV

A

Current Market Value

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18
Q

COGS

A

Cost of Goods Sold

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19
Q

CPI

A

Consumer Price Index

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20
Q

CQS

A

Consolidated Quotation System

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21
Q

CRD

A

Central Registration Depository

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22
Q

CTR

A

Currency Transaction Report

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23
Q

CV

A

Convertible Bond

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24
Q

DB

A

Debit Balance

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25
Q

DCA

A

Dollar Cost Averaging

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26
Q

DDM

A

Dividend Discount Method

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27
Q

DNR

A

Do Not Reduce

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28
Q

DOT

A

Designated Order Turnaround

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29
Q

DPP

A

Direct Participation Programs

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30
Q

ECN

A

Electronic Communications Network

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31
Q

EPS

A

Earnings Per Share

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32
Q

ERISA

A

Employment Retirement Income Security Act

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33
Q

ESOP

A

Employee Stock Ownership Plan

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34
Q

FAC

A

Face Amount Certificate

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35
Q

FHLMC

A

Federal Home Loan Mortgage Corporation

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36
Q

FIFO

A

First in First Out

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37
Q

FINRA

A

Financial Industry Regulatory Authority

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38
Q

FNMA

A

Federal National Mortgage Association

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39
Q

FOF

A

Fund of Funds

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40
Q

FOK

A

Fill or Kill

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41
Q

FRB

A

Federal Reserve Board

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42
Q

GDP

A

Gross Domestic Product

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43
Q

GNMA

A

Governmental National Mortgage Association

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44
Q

GO

A

General Obligation

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45
Q

GSE

A

Governmental-sponsored enterprise

46
Q

GTC

A

Good ‘till cancelled

47
Q

GTM

A

Good thru month

48
Q

GTW

A

Good thru week

49
Q

ICA 40

A

Investment Company Act of 1940

50
Q

IDD

A

Industrial Development Debt

51
Q

IOC

A

Immediate or cancel

52
Q

IOI

A

Indications of interest

53
Q

IPO

A

Initial Public Offering

54
Q

IPS

A

Investment Policy Statement

55
Q

IRA

A

Individual Retirement Agreement/Account

56
Q

IRR

A

Internal Rate of Return

57
Q

IRS

A

Internal Revenue Service

58
Q

LIFO

A

Last in first out

59
Q

LLC

A

Limited Liability Company

60
Q

LMV

A

Long Market Value

61
Q

LOI

A

Letter of intent

62
Q

M&A

A

Mergers and Acquisitions

63
Q

MAGI

A

Modified Adjusted Gross Income

64
Q

MRD

A

Minimum Required Distribution

65
Q

MSRB

A

Municipal Securities Rule Making Board

66
Q

NASAA

A

The North American Securities Administrators Association

67
Q

NASD

A

The National Association of Securities Dealers

68
Q

NASDAQ

A

National Association of Securities Dealers Automated Quotations (system)

69
Q

NAV

A

Net Asset Value

70
Q

NMM

A

National Major Market

71
Q

NPV

A

Net Present Value

72
Q

NYSE

A

New York Stock Exchange

73
Q

OBO

A

Order Book Official

74
Q

OCC

A

Options Clearing Corporation

75
Q

OMC

A

Open Market Committee

76
Q

OSJ

A

Office of Supervisory Jurisdiction

77
Q

OTC

A

Over the counter

78
Q

PAC

A

Planned Amortization Contract

79
Q

P/B

A

price to book

80
Q

P/E

A

price to earnings

81
Q

PC

A

Participation Certificate

82
Q

POD

A

Pay on Death

83
Q

POP

A

Public Offering Price

84
Q

PPI

A

Producer Price Index

85
Q

REIT

A

Real estate partnership and investment trust

86
Q

REMIC

A

Real estate mortgage investment conduit

87
Q

RIC

A

Regulated Investment Company

88
Q

RMD

A

Required Minimum Distribution

89
Q

SAR

A

Suspicious Activity Report

90
Q

SBI

A

Shares of Beneficial Interest

91
Q

SC

A

Sales Charge

92
Q

SD

A

Statutory Disqualification

93
Q

SEC

A

Securities and exchange commission

94
Q

SEP

A

Simplified Employees Pension (plan)

95
Q

SIMPLE

A

Savings Incentive Match Plan for Employees

96
Q

SIPC

A

Securities Investor Protection Corporation

97
Q

SLMA

A

Student Loan Marketing Association

98
Q

SMA

A

Special Memorandum Account

99
Q

SMV

A

Short Market Value

100
Q

SOES

A

Small Order Execution System

101
Q

SP

A

Strike Price

102
Q

SRO

A

Self-regulatory organization

103
Q

STRIPS

A

Separate trading of registered interest and principal securities

104
Q

TAC

A

Targeted Amortization Contract

105
Q

TAN

A

Tax Anticipation Note

106
Q

TDA

A

Tax-deferred Annuity

107
Q

TIPS

A

Treasury Inflation Protected Securities

108
Q

TOD

A

Transfer on death

109
Q

TSA

A

Tax-sheltered Annuity

110
Q

UGMA/UTMA

A

Uniform Gift/Transfer to Minors Act

111
Q

UIT

A

Unit Investment Trust

112
Q

DVP(/RVP)

A

Delivery versus payment

Series 7 (2 decks)

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