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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





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