IPO
Initial Public Offering; the first opportunity for the public to purchase shares of a company
ETF
Exchange traded fund - like a mutual fund but traded on the normal stock exchange; value is determined by value of underlying assets and the value itself
SEC
Securities and Exchange Commission
Bond
promissory notes issued by a corporation or government to its lenders, with a specified amount of interest for a specified length of time
Stock
share of ownership of a company
Equity
residual interest of an owner in an asset after all debt and tax payments have been taken care of.
NYSE
New York Stock Exchange
traded
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FINRA
Financial Industry Regulatory Authority
Dealers
directly involved in the transaction.
Brokers
people who bring two interested people together to make a trade
Spreads
In lieu of a load, a spread is a small change from the publicly traded price of a security that a broker-dealer keeps.
Volatile
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Flat Fee
loads are done away in lieu of a stated fee.
Inflation
how much less a dollar is worth next year compared to today
Earnings
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Portfolio
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Deflation
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Securities
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Dividends
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Allocation
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NASDAQ
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Settlement
occurs when both parties have received what each is legally entitled to receive
Split Stock
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Dow Jones
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Leveraging
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Wall Street
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Inverse ETF
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Shareholder
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Commission
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Stockholder
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Bull Market
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Bear Market
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Mutual Fund
a pool of money contributed from many different investors that are used to purchase a bundle of securities
Short Selling
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Credit Rating
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Interest Rates
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Reverse splits
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LeverageETF
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Advisory Fees
fee as a percentage of assets under management
Trade Capture
every aspect of a trade execution for both records, and to actually facilitate the transaction
Volatility ETF
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Fund Expenses
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Market Timing
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Diversification
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Ticker Symbol
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Common Stock
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Preferred Stock
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Systematic Risk
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Corporate Bond
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Margin account
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Asset Allocation
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Trade Reporting
Each time a trade is placed, whether fulfilled or not, the broker-dealer acting as the custodian must report the trade
Trade Execution
The buy or sell process within a brokerage account; an investor confirming the desire to buy or sell an investment or security
Commodity ETF
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Stock Certificate
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Trade Validation
Each Broker-dealer has internal systems to check the validity of the trade that has been captured
Risk and Reward
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Investment Banks
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Trade Fufillment
broker-dealers will hold popular securities, remember securities are typically stocks (equities) and bonds (debt), and investments available in reserve; dependent on a broker-dealer's trade agreements in place
Government Bond
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Unsystematic Risk
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Maintenance Margin
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Stock Diversification
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Sector Diversification
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Unit Investment Trusts
funds that are issued once and they have a limited lifespan
Open End Mutual Fund
no limit to the number of shares of these funds that can exist at any given time
Back Load Commission
charges an amount of money as a percentage of the investment when the investor exits a structured product
Front Load Commission
where an investor will pay upfront a percentage of money placed into an investment.
Closed End Mutual Fund
a fixed number of shares, and so these funds can trade on exchange