Compliance department

10-K, 1035 exchange, 19c3 stock, Annuity unit, Above par, American Stock Exchange, At par, All or any part, At best, At call, Adjustable rate preferred stock, All-risks coverage, At risk, Add-on service, Action to quiet title, Assignment to creditors, Attorney in fact, A shares, At the money, Accumulation unit, Age-weighted plan, Across the board, Additional paid-in capital, Ad valorem, After-hours trading, Against the box, At the bell, At the close, At the figure, At the full, At the market, At the opening order, Automated Pricing and Reporting System, Away from the market, Below the line, Banking Act of 1933, Bank Trust Department, Below par, Bid-to-cover ratio, Broker, Brokerage, Brokerage firm, Brokerage house, Broker loan, Brought over the wall, Buying on margin, Buy on close, Buy on opening, Buy the book, Basis trading, Breaking the syndicate, Bill of exchange, By the book, Broker loan rate, B shares, Buy and write, Borrowed stock, Beat the gun, Call, Call date, Called away, Called bond, Call price, Call protection, Call risk, Committee on Uniform Securities Identification Procedures, Common stock equivalent, Call money rate, Compliance, Compliance department, Contra broker, Contract broker, Chicago Mercantile Exchange, Cyclical stock, Cash and carry trade, Certificated stock, Chasing the market, Cheapest to deliver, Commodities Exchange Act, Commodities Exchange Center, Commodity Exchange, Commodity Futures Trading Commission, Commodity Trading Advisor, Callable stock, Certificate of stock, Chicago Board Options Exchange, Consumer stock, Control stock, C shares, Call option, Call ratio backspread, Call swaption, Close to the money, Covered call, Cloud on title, Cash or Deferred Arrangement, Class A Shares, Class B Shares, Child and dependent care credit, Cup and handle, Close a position, Cornering the market, Curbs in, Deposit in transit, Deep discount broker, Discount broker, Division of Market Regulation, Dividend in arrears, Desk (the), Daily trading limit, Deal stock, Defensive stock, Distribution stock, Donated stock, De-escalation clause, De facto, Debtor in possession, Debtor-in-possession financing, Due-on-sale clause, Deep in the money, Deep out of the money, Department of Housing and Urban Development, Dirty stock, Dogs of the Dow, Escrowed to maturity, Exchange, Ex-legal, Either-or order, Exchange seat, European Currency Unit, Exchange rate, Effective par, Edge Act, E-mini, Exchange against actuals, Exchange for futures, Exchange for physical, Exchange of spot, Exchange versus cash, Ex-pit transaction, Employee Stock Purchase Plan, Employee stock repurchase agreement, Ex-all, Exchange ratio, Exchange fund, Exchange privilege, Exchange-traded option, Ex-warrants, Employee Retirement Income Security Act of 1974, Ex-rights, Ex-rights date, Exchange distribution, First In First Out, Federal Savings and Loan Association, First call date, Flight to quality, Federal Call, Fill or kill, Floor broker, Front-ending an order, Full-service brokerage, Floating exchange rate, Foreign exchange, Foreign exchange rate, Forward exchange rate, Forward P/E, First preferred stock, Form 8-K, Form S-1, Full stock, Friends and family offering, Fair Credit Reporting Act, Fair Debt Collection Practices Act, Full faith and credit, Free and clear, Federal Insurance Contributions Act, Free right of exchange, Glass-Steagall Act, Growth stock, G-7, General Agreement on Tariffs and Trade, G-8, Growth and income fund, Gather in the stops, Hart-Scott-Rodino Act of 1976, Hit the bid, House call, Hang Seng Index, Health Insurance Portability and Accountability Act, High-tech stock, Holder in due course, Hang out loan, Home Mortgage Disclosure Act, Head and shoulders, Hammering the market, Held at the opening, Historical trading range, Holding the market, In escrow, Independent broker, In-house, Institutional brokerage, Introducing broker, Investment Advisor Act of 1940, Investment Company Act of 1940, Income stock, In line, Insurance broker, Insider trading, Insider Trading sanctions Act of 1984, In intestacy, In play, In-process research and development, I/O strip, In-service withdrawal, In and out, In sympathy, Intermarket Trading System, In the tank, Jointly and severally, Jumping the gun, Joint and several liability, Joint and survivor annuity, Joint Stock Company, Last In First Out, Lending at a rate, Limit-on-close order, Last trading day, London International Financial Futures and Options Exchange, Loan stock, Legal age, Loan-to-cost, Loan-to-value, Lock-in, Leading the market, Like-kind exchange, Locked in, Long-term gain or loss, Level I quotes, Matrix trading, Maintenance call, Make a market, Margin call, Market on close order, Mark-to-market, Medium of exchange, Marginal propensity to consume, Marginable stock, Money at call, Mortgage broker, New York Stock Exchange, NASD Regulation, New York Futures Exchange, Nonvoting stock, Null and void, Naked call, Non-qualified stock option, Non-statutory stock option, Normal retirement age, No-load stock, Net change, Off the books, Other current assets, Other long term liabilities, Over-the-Counter, On-floor order, Online broker, On margin, Or better, Outside broker, Other income, Optionable stock, Original issue stock, On account, On-the-spot loan, Out of the money, Old age, survivors, and disability insurance, On-balance volume, On close, On open, On the opening, Option exchange, Profit and loss statement, Par bond, Payment-in-kind security, Premium over bond value, Premium over conversion value, Price Value of a Basis Point, Provisional call feature, Prime broker, Prime brokerage, Preferred stock, Prior preferred stock, P&L, Pour-over will, Prudent Expert Act, Paid-in capital, Paid-in surplus, Private Investment in Public Equity, Program trading, Point-and-figure chart, Painting the tape, Paper trading, Primary exchange, Put/call ratio, Reports and Records, Return on Capital, Return on Invested Capital, Return on Total Assets, Regulation Q, Reading the tape, Regulation D, Regulation G, Regulation T, Regulation U, Research department, Retail brokerage, Rate of exchange, Restricted stock, Red herring, Regulation A, Reverse Take-Over, Right to Know, Regulation Z, Roll over, Real estate broker, Retirement Equity Act of 1984, Regulation FD, Return on Capital Employed, Regional exchange, SEC filing, Selling, General and Administrative Expenses, SG&A, Savings and Loan, S&L, Stock association, SEC, Securities and Exchange Commission, Series EE bond, Stock buyback, SEC fee, Sell the book, Specialist unit, Stock loan, Street broker, Second preferred stock, Stock dividend, Single stock futures, Spot trading, Second-to-die insurance, Stock life insurance company, Secondary stock, Stock bonus plan, Stock certificate, Stock Clearing Corporation, Stock consolidation, Stock exchange, Stock index, Stock market, Stock option, Stock option plan, Stock power, Stock screening, Stock swap, Stock symbol, Stock ticker, Sale and leaseback, Stock fund, Selling the spread, Synthetic stock, Stock list, Story stock, Selling short against the box, Shorting against the box, S Corporation, Short-term gain or loss, Subchapter M, Subchapter S Corporation, Schedule C, Securities Act of 1933, Securities Exchange Act of 1934, Seek a market, S&P phenomenon, Stop and reverse, Surveillance department, Suspended trading, T-Bill, Term to maturity, Trading, Take a position, Trading authorization, Trailing P/E, Trading range, Treasury Stock, Tenancy by the entirety, Truth in Lending, Tenancy at will, Top hat plan, The Street, Timing the market, Taxpayer Relief Act of 1997, Tax Reform Act of 1986, Tax Reform Act of 1993, Trading profit, Trading Index, Take a bath, Thin market, Trading costs, Trading curb, Trading floor, Trading halt, Trading session, Trading volume, U.S. Government Agency Security, U.S. Savings Bond, U.S. Treasury, U.S. Treasury Bill, U.S. Treasury Bond, U.S. Treasury Note, U.S. Treasury Securities, Unit, Uniform Securities Act, Unlisted trading, Uncovered call, Unit Investment Trust, Unit Trust, Unit of trade, Unit of trading, Value stock, Vetoing stock, Voting stock, With interest, Williams Act, Watered stock, Widow-and-orphan stock, W-2 Form, W formation, When, as, and if issued, X or XD, Year-over-year, Year-To-Date, Yield to call, Yield to maturity, Yield to worst