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Investments Licensing > SIE Abbreviations > Flashcards

SIE Abbreviations Flashcards

1
Q

OCC

A

Options Clearing Corporation

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2
Q

DTCC

A

Depository Trust and Clearing Corporation

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3
Q

SAI

A

Statement of Additional Information

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4
Q

IPO

A

Initial Public Offering

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5
Q

FPO, SPO, APO

A

Follow-on Public Offering
Subsequent Public Offering
Additional Public Offering

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6
Q

SO

A

Secondary Offering

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7
Q

SEC

A

Securities Exchange Commission

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8
Q

SRO

A

Self-Regulatory Organization

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9
Q

FINRA

A

Financial Industry Regulatory Authority

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10
Q

CBOE

A

Chicago Board of Options Exchange

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11
Q

MSRB

A

Municipal Securities Rulemaking Board

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12
Q

OTC

A

Over the Counter

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13
Q

ECNs

A

Electronic Communication Networks

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14
Q

UIT

A

Unit Investment Trust

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15
Q

DOT

A

Department of Treasury

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16
Q

FinCEN

A

Financial Crimes Enforcement Network

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17
Q

SAR

A

Suspicious Activity Report

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18
Q

CTR

A

Currency Transaction Report

19
Q

AML

A

Anti-Money Laundering

20
Q

CIP

A

Customer Identification Program

21
Q

OFAC

A

Office of Foreign Asset Control

22
Q

SDNs

A

Specially Designated Nationals and Blocked Persons

23
Q

NASDAQ

A

National Association of Securities Dealers Automated Quotations Exchange

24
Q

BOD

A

Board of Directors

25
Q

STRIPS

A

Separately Trading of Registered Interest and Principal Securities

26
Q

GNMA

A

Government National Mortgage Association

27
Q

NAV

A

Net Assest Value

28
Q

POP

A

Public Offer Price

29
Q

REIT

A

Real Estate Investment Trust

30
Q

DPP

A

Direct Partnership Program

31
Q

ETFs

A

Exchange Traded Products

32
Q

FRB

A

Federal Reserve Board

33
Q

FOMC

A

Federal Open Market Committee

34
Q

GDP

A

Gross Domestic Product

35
Q

GNP

A

Gross National Product

36
Q

ADR

A

American Depository Receipt

37
Q

SIPC

A

Securities Investor Protection Corporation

38
Q

FDIC

A

Federal Deposit Insurance Corporation

39
Q

GTC

A

Good til Cancelled

40
Q

UGMA

A

Uniform Gift to Minors Act

41
Q

UTMA

A

Uniform Transfer to Minors Act

42
Q

RMD

A

Required Minimum Distribution

43
Q

ESA

A

Education Savings Account

44
Q

ABLE

A

Achieving a Better Life Experience

Investments Licensing (1 decks)

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