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Also known as a recovery. An upward movement in prices.
A security’s high and low transaction prices (or high and low bids and offers) for a specific period.
An evaluation of credit quality. Moody’s, Standard & Poor’s, and Fitch Investors Service issue ratings to companies used by investors and analysts.
A real estate investment trust, similar to a mutual fund as it trades as a stock on an exchange, but invests in real estate or loans secured by real estate. REIT units fluctuate in value, and redemption can be less than the original amount invested. There are special risks associated with real estate investments, including illiquidity. The investment objectives may not be attained.
Date by which a shareholder must officially own shares in order to be entitled to a dividend.
Industry jargon for a preliminary prospectus issued by underwriters or issuers to gauge interest in a prospective offering. It receives its name from the warning printed in red, that information in the document is incomplete or subject to change before the issue.
Price at which a bond is redeemable before the maturity date.
Using a new loan to pay off an existing loan using the same collateral. Done to take advantage of interest rates, lengthen the loan’s term, or both.
A bond issued in the name of the owner. Nontransferable without the owner’s endorsement.
An employee of a NASD member firm who gives advice on which securities to buy and sell and who collects a percentage of the commission income he or she generates.*
An exchange member who executes trades for his or her own account.
A company’s filing of securities with the SEC for public offering.
The securities regulation that exempts small public offerings (valued at less than $1.5 million) from most SEC registration requirements.
Securities and Exchange Commission (SEC) regulation governing private placement exemptions. Reg D allows usually smaller companies to raise capital through the sale of equity or debt securities without having to register their securities with the SEC.
Federal regulation requiring member banks to hold reserves against their net borrowings from their foreign branches over a 28-day averaging period. Reg M has also required member banks to hold reserves against Eurodollars lent by their foreign branches to domestic corporations for domestic purposes.
Federal regulation imposing caps on the rates that banks may pay on savings and time deposits. Currently time deposits with a denomination of $100,000 or more are exempt from Reg Q.
Federal regulation restricting credit amount advanced to customers by brokers/dealers for margin accounts.
Federal regulation restricting credit amount advanced to customers by banks for the purchase of listed stocks.
A reduction in the number of shares (but not the value of shares) held by shareholders. Shareholders maintain the same percentage of equity in the corporation as before the split.
Degree of uncertainty of return on an asset.
To reinvest funds received from a maturing security into a new issue of the same or a similar security. Also, a tax-advantaged reinvestment of funds from a qualified retirement plan into an IRA or other qualified plan.
An IRA or 401(k) retirement account created by congress in 1997. Savings to these accounts grow tax-free, but contributions are made on a pre-tax basis.
A trading order unit usually in some multiple of 100 shares.