Series 7: Common Abbreviations
Terms
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- ADR/ADS
- American depositary receipt (share)
- AIR
- assumed interest rate
- AMBAC
- AMBAC Indemnity Corporation
- AP
- associated person
- BA
- banker's acceptance
- BD
- broker-dealer
- CD
- certificate of deposit
- CEO
- chief exective officer
- CMO
- collateralized mortgage obligation
- CMV
- current market value
- COP
- Code of Procedure
- CPI
- Consumer Price Index
- CQS
- Consolidated Quotation System
- CY
- current yield
- DBCC
- District Business Conduct Committee
- DEA
- designated examining authority
- DJIA
- Dow Jones Industrial Average
- EE
- Series EE savings bond
- EPS
- earnings per share
- ERISA
- Employee Retirement Income Security Act of 1974
- FAC
- face amount certificate
- Fed
- Federal Reserve System
- FDIC
- Federal Deposit Insurance Corporation
- FIFO
- first in, first out
- FMV
- fair market value
- FNMA
- Federal National Mortgage Association
- FOMC
- Federal Open Market Committee
- FRB
- Federal Reserve Board
- GNMA
- Government National Mortgage Association
- GDP
- gross domestic product
- GO
- general obligation bond
- HH
- Series HH savings bond
- IDR
- industrial revenue bond
- IPO
- initial public offering
- IRA
- individual retirement account
- IRC
- Internal Revenue Code
- IRS
- Internal Revenue Service
- JTIC
- joint tenants in common
- JTWROS
- joint tenants with right of survivorship
- LIFO
- last in, first out
- LOI
- letter of intent
- MBIA
- Municipal Bond Investors' Assurance Corporation
- MIG
- Moody's investment group
- MSRB
- Municipal Securities Rulemaking Board
- NASAA
- North American Securities Administrators' Association
- NASD
- National Accociation of Securities Dealers, Inc.
- NASDAQ
- National Association of Securities Dealers Automated Quotation System
- NAV
- net asset value
- NL
- no load
- NNM
- Nasdaq National Market
- NYSE
- New York Stock Exchange
- OSJ
- office of supervisory jurisdiction
- OTC
- over the counter
- PE
- price-earnings ratio
- POP
- public offering price
- REIT
- real estate investment trust
- RR
- registered representative
- SAI
- statement of additional information
- SEC
- Securities and Exchange Commission
- SEP
- simplified employee pension plan
- SIPC
- Securities Investor Protection Corporation
- SLMA
- Student Loan Marketing Association
- SRO
- self-regulatory organization
- STRIPS
- Separate Trading of Registered Interest and Principal of Securities
- T+3
- trade date plus three business days settlement
- TCPA
- Telephone Consumer Protection Act of 1991
- TSA
- tax-sheltered annuity
- USMA/UTMA
- Uniform Gifts (Transfers)to Minors Act
- UIT
- unit investment trust
- UPC
- Uniform Practice Code
- VLI
- variable life insurance
- YLD
- yield
- YTC
- yield to call
- YTM
- yield to maturity
- ZR
- zero coupon