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Acronyms Flashcards

1
Q

NASAA

A

North American Securities Administrators Association

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2
Q

USA

A

Uniform Securities Act of 1956

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3
Q

ETN

A

Exchange traded notes
(Traded under Securities

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4
Q

DPP

A

Direct participation programs
(One class of alternative investments)

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5
Q

SRO

A

Self-Regulatory organization

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6
Q

CFTC

A

Commodity Futures Trading Commission
(Regulates futures and forward contracts)

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7
Q

RELP

A

Real estate limited partnership

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8
Q

FRB

A

Federal Reserve Board (implements nation’s monetary policy)

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9
Q

OASDI

A

Old Age, Survivors, and Disability Insurance program

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10
Q

SPAC

A

Special purpose acquisition companies
(Blank check companies/hedge funds)
Have no business operations but instead raise money for the sole purpose of seeking out a business to engage in

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11
Q

REIT

A

Real estate investment trust

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12
Q

ILIT

A

Irrevocable Life Insurance Trust

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13
Q

DNI

A

Distributable Net Income
(Trusts & Estates)
Ch 16

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14
Q

IPS

A

Investment Policy Statement

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15
Q

TIC

A

Tenants In Common

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16
Q

JTWROS

A

Joint Tenants With Rights of Survivorship

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17
Q

UPIA

A

Uniform prudent investors act

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18
Q

ESG

A

Environment, Social, and corporate Governance

19
Q

TOD

A

Transfer on Death - available for JTWROS, CPWROS, Tenants by the Entirety

Aka POD (for banks) - Payable On Death

20
Q

AEIS

A

Ameriprise Enterprise Investment Services - use for all accounts ending in 133

21
Q

AFSI

A

Ameriprise Financial Services Incorporated - used for all non-133 accounts

22
Q

TSA

A

Tax Sheltered Annuities - 403(b)

23
Q

QDRO

A

Qualified Domestic Relations Order
Unit 18

24
Q

AGI

A

Adjusted Gross Income

25
ERISA
Employee Retirement Income Security Act of 1974 (Fed legislation that regulates all private sector employee benefit and retirement plans) aka the Pension Reform Act
26
SIMPLE plans
Savings Incentive Match PLans for Employees 100 or fewer employees who earn $5,000 or more in a preceding year.
27
GIC
Guaranteed Investment Contracts - Issued by insurance companies - Offer guaranteed return of principal at a certain date in the future - Not federally insured - Higher fixed return than bank CDs. - More investment risk than CDs
28
SERP
Supplemental Executive Retirement Plan Unit 18 SUPPLEMENTAL (great to keep key employees)
29
NUA
Net Unrealized Appreciation Connected to a lump sum distribution of an employer's securities from a 401k within 1 taxable year as a result of a triggering event
30
QDRO
Qualified Domestic Relations Order Exempt from: 10% early withdrawal tax Typically issued in the course of divorce proceedings for a retirement plan to pay a former spouse, child or dependent
31
QTPs
Qualified Tuition Program (Coverdell ESA + 529 Plan)
32
SECURE
Setting Every Community Up For Retirement Enhancement (act)
33
TIPS
Treasury Inflation Protection Securities 6 month adjustment schedule based on CPI
34
CPI
Consumer Price Index
35
PRIME (systematic risks)
Purchasing power risk (inflation) Reinvestment risk Interest risk Market risk Exchange rate risk (currency)
36
NPV
Net Present Value
37
IRR
Internal Rate of Return The discount rate that, when applied to the cash flows of an investment, equates the net cash inflows to the net cash outflows If the calculation is greater than or equal to the investors required rate of return, then the investor should consider making the investment, all other factors being equal.
38
STRIPS
Separate Trading of Registered Interest and Principal of Securities Zero coupon bond. Sold at a discount to their face value and matures at par
39
DCF A method of assessing the value of a fixed income security by looking at the future expected free cash flow and discounting it to arrive at a present value
Discounted Cash Flow
40
CMT
Capital Market Theory All things are equal, no inflation, no trading costs, no mispricings Builds off of MPT (Unit 21)
41
MPT
Modern Portfolio Theory (unit 21)
42
CAPM
Capital Asset Pricing Model (Unit 21)
43
CML
Capital Market Line (Unit 21) Provides an expected return based on the total level of risk as measured by the standard deviation. No alpha/beta used

66 (11 decks)

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