Acroynms Flashcards
1
Q
ADR
A
American Depository Receipt
2
Q
AIR
A
Assumed Interest Rate
3
Q
AE
A
Account Executive (Registered Representative)
4
Q
AMT
A
Alternative Minimum Tax
5
Q
AWC
A
Acceptance, Waiver, and Consent
6
Q
BA
A
Banker’s Acceptance
7
Q
BD
A
Broker-Dealer
8
Q
BOD
A
Board of Directors
9
Q
CD
A
Certificate of Deposit
10
Q
CDSC
A
Contingent Differed Sales Charge
11
Q
CE
A
Continuing Education
12
Q
CIP
A
Customer Identification Program
13
Q
CMO
A
Collatoralized Mortgage Obligation
14
Q
COA
A
Code of Arbitration (monetary disputes)
15
Q
COP
A
Code of Procedure (rules)
16
Q
CPI
A
Consumer Price Index
17
Q
CRD
A
Central Registration Depository (FINRA)
18
Q
DB
A
Defined Benefit (plan)
19
Q
DC
A
Defined Contribution (plan)
20
Q
DOB
A
Date of Birth
21
Q
DNC
A
Do Not Call
22
Q
DJIA
A
Dow Jones Industrial Average
23
Q
EIA
A
Equity Indexed Annuity
24
Q
EIC
A
Equity Indexed Contract
25
ETF
Exchange-Traded Fund
26
ERISA
Employee Retirement Income Security Act
27
FDIC
Federal Deposit Insurance Corporation
28
FIFO
First-in, First-out
29
FINRA
The Financial Industry Regulatory Authority
30
FNMA
The Federal National Mortgage Association (Fannie Mae)
31
FRB
Federal Reserve Board
32
GDP
Gross Domestic Product
33
GNMA
Government National Mortgage Association (Ginnie Mae)
34
GNP
Gross National Product
35
GO
General Obligation
36
IA
Investment Advisor
37
IDRB
Industrial Development Revenue Bond
38
IPO
Initial Public Offering
39
IRA
Individual Retirement Account
40
IRS
Internal Revenue Service
41
JTWROS
Joint Tenants With Rights Of Survivorship
42
LOI
Letter of Intent
43
LIFO
last-in, First-out
44
NASD
National Association of Securities Dealers (Formerly SRO)
45
NAC
National Adjudicatory Council
46
NAV
Net Asset Value
47
NL
No Load
48
NYSE
New York Stock Exchange
49
OTC
Over the Counter
50
POP
Public Offering Price
51
REIT
Real Estate Investment Trust
52
RMD
Required Minimum Distribution
53
RR
Registered Representative
54
POA
Power of Attourney
55
SAI
Statement of Additional Information
56
SAR
Suspicious Activity Report
57
SEC
Securities and Exchange Commission
58
SEP
Simplified Employee Pension
59
SIPC
Securities, Investor Protection Corporation
60
SPDA
Single-Premium Deferred Annuity
61
SRO
Self Regulatory Organization
62
SS#
Social Security Number
63
STRIPS
Separate Trading of Registered Interest and Principle Securities
64
TCPA
Telephone Consumer Protection Act (1991)
65
TIC
Tenants In Common
66
TIPS
Treasury Inflation-Protected Securities
67
TSA
Tax-Sheltered Annuity [ 403(b) plan]
68
UGMA
Uniform Gifts to Minors Act
69
UIT
Unit Investment Trust
70
UPIA
Uniform Prudent Investor Act
71
USA
Uniform Securities Act
72
UTMA
Uniform Transfer to Minors Act
73
VLI
Variable Life Insurance
74
YTC
Yield To Call
75
YTM
Yield to Maturity
76
good
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