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SIE 2nd Edition Securities abbreviations > Misc > Flashcards

Misc Flashcards

1
Q

Securities Act of 1933

A

Paper Act
Investing public is fully informed

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2
Q

AIR

A

assumed interest rate
p103
Annuitization

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3
Q

SAAPI

A

sex, age, amount, payout type, interest rate (assumed)

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4
Q

UGMA

A

Uniform Gift to Minors Act

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5
Q

UTMA

A

Uniform Transfer to Minors Act

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6
Q

COLA

A

Cost of living adjustment

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7
Q

RSU

A

a form of equity compensation that companies issue to employees. An RSU is a promise from your employer to give you shares of the company’s stock (or the cash equivalent) on a future date—as soon as you meet certain conditions.

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8
Q

Churning

A

Excessive trading in a customers account to generate commissions

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9
Q

KYC

A

know your customer

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10
Q

blue chip stock

A

stock issued by a large, well-established, financially-sound company with an excellent reputation

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11
Q

Form CRS

A

customer relationship summary form

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12
Q

EAFE

A

Europe, Australia, Far East

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13
Q

EPS

A

earnings per share

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14
Q

P/E ratio

A

price to earnings

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15
Q

CTR

A

currency transaction report p227

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16
Q

SAR

A

suspicious activity report p227

17
Q

OFAC

A

office of foreign assets control p228

18
Q

CIP

A

customer identification program
p228

19
Q

SDN

A

specially designated nationals
p228

20
Q

market manipulation

A

supporting, capping, pegging
see glossary

21
Q

contemporaneous traders

A

suits initiated up to 5 years after the violation
p233

22
Q

CUSIP

A

Committee on Uniform Securities Identification Procedures

23
Q

BCP

A

Business continuity plan

24
Q

DRP

A

Disclosure Reporting Pages
Form U4

25
Q

CRD

A

Central Registration Depository

26
Q

TCPA

A

Telephone Consumer Protection Act of 1991

27
Q

FCC

A

Federal Communications Commission

28
Q

BOT, SLD

A

bought, sold

29
Q

AE

A

account executive

30
Q

Regulation SP

A

protects customer privacy

31
Q

BCP

A

business continuity plan

32
Q

BSA

A

Bank Secrecy Act

33
Q

MFP

A

Municipal Finance Professional

34
Q

MOU

A

Memo of Understanding
Signed when mediation is successful

35
Q

M&A

A

Merger and acquisition

SIE 2nd Edition Securities abbreviations (10 decks)

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