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Series 6 > Acroynms > Flashcards

Acroynms Flashcards

1
Q

ADR

A

American Depository Receipt

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2
Q

AIR

A

Assumed Interest Rate

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3
Q

AE

A

Account Executive (Registered Representative)

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4
Q

AMT

A

Alternative Minimum Tax

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5
Q

AWC

A

Acceptance, Waiver, and Consent

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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

BOD

A

Board of Directors

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9
Q

CD

A

Certificate of Deposit

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10
Q

CDSC

A

Contingent Differed Sales Charge

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11
Q

CE

A

Continuing Education

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12
Q

CIP

A

Customer Identification Program

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13
Q

CMO

A

Collatoralized Mortgage Obligation

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14
Q

COA

A

Code of Arbitration (monetary disputes)

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15
Q

COP

A

Code of Procedure (rules)

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16
Q

CPI

A

Consumer Price Index

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17
Q

CRD

A

Central Registration Depository (FINRA)

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18
Q

DB

A

Defined Benefit (plan)

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19
Q

DC

A

Defined Contribution (plan)

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20
Q

DOB

A

Date of Birth

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21
Q

DNC

A

Do Not Call

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22
Q

DJIA

A

Dow Jones Industrial Average

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23
Q

EIA

A

Equity Indexed Annuity

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24
Q

EIC

A

Equity Indexed Contract

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25
Q

ETF

A

Exchange-Traded Fund

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26
Q

ERISA

A

Employee Retirement Income Security Act

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27
Q

FDIC

A

Federal Deposit Insurance Corporation

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28
Q

FIFO

A

First-in, First-out

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29
Q

FINRA

A

The Financial Industry Regulatory Authority

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30
Q

FNMA

A

The Federal National Mortgage Association (Fannie Mae)

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31
Q

FRB

A

Federal Reserve Board

32
Q

GDP

A

Gross Domestic Product

33
Q

GNMA

A

Government National Mortgage Association (Ginnie Mae)

34
Q

GNP

A

Gross National Product

35
Q

GO

A

General Obligation

36
Q

IA

A

Investment Advisor

37
Q

IDRB

A

Industrial Development Revenue Bond

38
Q

IPO

A

Initial Public Offering

39
Q

IRA

A

Individual Retirement Account

40
Q

IRS

A

Internal Revenue Service

41
Q

JTWROS

A

Joint Tenants With Rights Of Survivorship

42
Q

LOI

A

Letter of Intent

43
Q

LIFO

A

last-in, First-out

44
Q

NASD

A

National Association of Securities Dealers (Formerly SRO)

45
Q

NAC

A

National Adjudicatory Council

46
Q

NAV

A

Net Asset Value

47
Q

NL

48
Q

NYSE

A

New York Stock Exchange

49
Q

OTC

A

Over the Counter

50
Q

POP

A

Public Offering Price

51
Q

REIT

A

Real Estate Investment Trust

52
Q

RMD

A

Required Minimum Distribution

53
Q

RR

A

Registered Representative

54
Q

POA

A

Power of Attourney

55
Q

SAI

A

Statement of Additional Information

56
Q

SAR

A

Suspicious Activity Report

57
Q

SEC

A

Securities and Exchange Commission

58
Q

SEP

A

Simplified Employee Pension

59
Q

SIPC

A

Securities, Investor Protection Corporation

60
Q

SPDA

A

Single-Premium Deferred Annuity

61
Q

SRO

A

Self Regulatory Organization

62
Q

SS#

A

Social Security Number

63
Q

STRIPS

A

Separate Trading of Registered Interest and Principle Securities

64
Q

TCPA

A

Telephone Consumer Protection Act (1991)

65
Q

TIC

A

Tenants In Common

66
Q

TIPS

A

Treasury Inflation-Protected Securities

67
Q

TSA

A

Tax-Sheltered Annuity [ 403(b) plan]

68
Q

UGMA

A

Uniform Gifts to Minors Act

69
Q

UIT

A

Unit Investment Trust

70
Q

UPIA

A

Uniform Prudent Investor Act

71
Q

USA

A

Uniform Securities Act

72
Q

UTMA

A

Uniform Transfer to Minors Act

73
Q

VLI

A

Variable Life Insurance

74
Q

YTC

A

Yield To Call

75
Q

YTM

A

Yield to Maturity

76
Q

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Series 6 (5 decks)

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