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Investment Dictionary, In Category [Brokerages]

ABC agreement Abeyance Account Account balance Account executive Acknowledge Active account Affirmative obligations Agency Agent Allied member All or any part Alternative order Analyst Asset management account Associate member At best At call Autex Automated Order Entry System Average equity Back office Balance Best efforts offering Best-execution requirement Block house Blue Sky Laws Boiler room Boutique Broker Brokerage Brokerage firm Brokerage house Brokered CD Broker loan Brought over the wall Bucket shop Bulk segregation Bunching Buy Buying on margin Buy limit order Buy minus Buy minus order Buy on close Buy on opening Buy order Buy stop order Buy the book Cage Call money rate Cancel Cash account Central assets account Central Registration Depository Clearance Clearing Clearing corporation Clearing firm Clearinghouse Clearing member Client Closed out Code of procedure Commission house Comparison Compliance Compliance department Composite tape Consolidated tape Contingency order Contingent order Contra broker Contract broker Correspondent Countermand Coverage Coverage initiated CRD Credit balance Crossed trade Crossing Crowd Custodial account Customer protection rule Daisy chaining Day loan Day order Dealer Dealer bank Dealer market Deep discount broker Del credere agency Designated Order Turnaround Differential Discount broker Discretionary account Discretionary order Division of Enforcement Division of Investment Management Division of Market Regulation Do Not Reduce DOT Drawdown Either-or order Eligible list Exchange seat Execution Facilitation Fairness opinion Federal Call Fictitious credit Fidelity bond Fill Fill or kill Financial analyst Firewall Firm quotation Floor broker Floor trader Flotation costs Free riding Front-ending an order Full-service brokerage Fund supermarket General account General Securities Representative Examination Glass-Steagall Act Good Til Canceled GTC Hard dollars Hart-Scott-Rodino Act of 1976 Highly confident letter Hit the bid House House account House call House of issue Hypothecation agreement Inactive account Independent broker In-house Institutional brokerage Insured account Introducing broker Investment Advisor Act of 1940 Investment bank Investment banker Investment Bankers Association Investment banking Investment banking group Investment Company Act of 1940 Investment security Joint account Kill Killer bee Know Your Customer Lead manager Lead underwriter Lending at a rate Lessee member Limit-on-close order Limit order Limit order book Limit order information system Limit price LMV Local bill Long Market Value Maintenance Maintenance call Maintenance fee Make a market Managed account Margin Margin account Margin agreement Margin buying Margin call Margin loan Margin rate Market if touched order Market letter Market maker Market maker spread Market on close order Market order Mark-to-market Markup May Day Member firm Merchant bank Minimum maintenance Money management Multiple Listing Service NASD Nasdaq NASDR NASD Regulation National Association of Securities Dealers National Association of Securities Dealers Automated Quotations system National Securities Clearing Corporation National Securities Trade Association Net capital ratio New York Stock Exchange No limit order Nominal quotation Nominee Nonmember firm No quote NSCC NSTA NYSE Off-floor order On-floor order Online broker On margin Open order Option account Or better Order Order flow Order ticket Originator Outside broker Over-the-Counter Passbook Payment for order flow Pink Sheets Position Primary Dealer Prime broker Prime brokerage Private placement PSA Public limited partnership Public Securities Association Purchase Purpose loan Qualified institutional investor Quote ticker Reading the tape Reallowance Real-time trade reporting Receive against payment Receive versus payment Registered Representative Registrar Regulation D Regulation G Regulation T Regulation U Remargining Research department Restricted account Retail brokerage Rights offering Road show Round of funding Rule 10b-6 Rule 15c3-1 Rule 19c3 Rule 405 Rule 415 Rules of Fair Practice Scienter SEC SEC fee Secondary distribution Secondary offering Securities analyst Securities and Exchange Commission Securities Industry Association Securities Investor Protection Corporation Securities loan Segregation of securities Selective disclosure Sell Selling group Sell limit order Sell order Sell plus Sell-side analyst Sell the book Series 6 Series 63 Series 7 Settlement Shelf offering Shelf registration SIA Significant order SIPC Small Order Execution System SOES Soft dollars Specialist Specialist unit Split commission Split order Stabilization Stake Stockbroker Stock loan Stop-limit order Stop-loss Stop order Stop price Street broker Street name Suitability Rules Sweep account Syndicate Syndicate bid Syndicate manager Syndicate member Tailgating Take a position Ticket Time order Tombstone Trader Trading authorization Transfer Transmittal letter Two-sided market Two-way market Underbanked Underbooked Undermargined account Underwriter Underwriting Underwriting agreement Underwriting group Underwriting spread Uniform Securities Act Unlisted Unlisted trading Variation margin Wall Street analyst Watch list Williams Act Wrap account Wrap fee