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Registered options principal
An employee of a Brokerage firm who observes and regulates options exposure and Activity in client Account . A registered options Principal must complete the NASD Series 4 exam in Order to demonstrate sufficient knowledge of options and options Trading .
Related Terms: 17
Account , Activity , Broker , Brokerage , Brokerage firm , Client , Inc. , Lien , NOW , NASD , Order , Option , Principal , Register , Registered options principal , Series , Trading
Semi Related Terms: 649 CLICK HERE TO VIEW
10-K ,
Account ,
Accounts receivable ,
Accounts receivable aging ,
Accounts receivable turnover ,
Account statement ,
Account aggregation ,
Account balance ,
Active account ,
Adjustable rate ,
Alternate account ,
Asset management account ,
Accrual of discount ,
Amortization of premium ,
At par ,
Account executive ,
All or any part ,
Alternative order ,
At best ,
At call ,
Automated Order Entry System ,
Adjustable rate preferred stock ,
At risk ,
Add-on service ,
Abstract of title ,
Action to quiet title ,
As is ,
Assignment to creditors ,
Attorney in fact ,
Adjustable Rate Mortgage ,
Advance rate ,
Annual Percentage Rate ,
Applicable federal rate ,
Assignment of mortgage ,
A shares ,
American option ,
American-style option ,
Asian option ,
At the money ,
Average option ,
Absorption rate ,
Age-weighted plan ,
Across the board ,
Activity ,
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 ,
Books of final entry ,
Books of original entry ,
Burn rate ,
Banking Act of 1933 ,
Benchmark interest rate ,
Bid-to-cover ratio ,
Bureau of Public Debt ,
Broker ,
Brokerage ,
Brokerage firm ,
Brokerage house ,
Broker loan ,
Brought over the wall ,
Buying on margin ,
Buy limit order ,
Buy minus order ,
Buy on close ,
Buy on opening ,
Buy order ,
Buy stop order ,
Buy the book ,
Balance of payments ,
Bank Rate ,
Base interest rate ,
Board of Governors ,
Basis trading ,
Breaking the syndicate ,
Bill of exchange ,
Bill of sale ,
Breach of trust ,
By the book ,
Base rate ,
Blanket lien ,
Blended rate ,
Broker loan rate ,
B shares ,
Buy and write ,
Break-even tax rate ,
Breadth-of-market theory ,
Beat the gun ,
Contra account ,
Cost Of Goods Sold ,
Cost of sales ,
Credit order ,
Central assets account ,
Checkbook register ,
Checking account ,
Custodial account ,
Certificate of Participation ,
Committee on Uniform Securities Identification Procedures ,
Conversion option ,
Coupon rate ,
Current production rate ,
Call money rate ,
Cash account ,
Clearing firm ,
Client ,
Code of procedure ,
Contingency order ,
Contingent order ,
Contra broker ,
Contract broker ,
Capitalization of income ,
Capitalization rate ,
Cap rate ,
Capital account ,
Civilian unemployment rate ,
Cost of Living Adjustment ,
Cost-of-living index ,
Council of Economic Advisers ,
Current account ,
Cash and carry trade ,
Chasing the market ,
Cheapest to deliver ,
Chicago Board of Trade ,
Commodities Exchange Act ,
Commodity Futures Trading Commission ,
Commodity Trading Advisor ,
Cost-of-living rider ,
Certificate of stock ,
Chicago Board Options Exchange ,
Cost of carry ,
Certificate of title ,
Cancellation of debt ,
Certificate of Claim ,
Cost of debt capital ,
Cost of funds ,
C shares ,
Call option ,
Class of options ,
Close to the money ,
Covered option ,
Certificate of Occupancy ,
Cloud on title ,
Cash or Deferred Arrangement ,
Class A Shares ,
Class B Shares ,
Crash of 1929 ,
Crash of 1987 ,
Child and dependent care credit ,
Coefficient of determination ,
Cup and handle ,
Certificate of delivery ,
Close a position ,
Cornering the market ,
Curbs in ,
Deposit in transit ,
Drawing account ,
Date of issue ,
Date of payment ,
Day order ,
Deep discount broker ,
Designated Order Turnaround ,
Discount broker ,
Discretionary account ,
Discretionary order ,
Division of Enforcement ,
Division of Investment Management ,
Division of Market Regulation ,
Date of record ,
Dividend in arrears ,
Dividend rate ,
Desk (the) ,
Discount rate ,
Division of labor ,
Daily trading limit ,
De-escalation clause ,
De facto ,
Doing business as ,
Durable Power of Attorney ,
Date of maturity ,
Debtor in possession ,
Debtor-in-possession financing ,
Deed of Release ,
Deed of Trust ,
Discharge of bankruptcy ,
Discharge of lien ,
Due-on-sale clause ,
Deep in the money ,
Deep out of the money ,
Deed of Surrender ,
Department of Housing and Urban Development ,
Deferred account ,
Dogs of the Dow ,
Depth of market ,
Effective annual interest rate ,
Eurodollar certificate of deposit ,
Embedded option ,
Escrowed to maturity ,
Ex-legal ,
Either-or order ,
Exchange rate ,
Economic growth rate ,
Edge Act ,
E-mini ,
Exchange of spot ,
Ex-pit transaction ,
Effective tax rate ,
Employee Stock Purchase Plan ,
Employee stock repurchase agreement ,
Equity option ,
Ex-all ,
European-style option ,
Exchange-traded option ,
Ex-warrants ,
Employee Retirement Income Security Act of 1974 ,
Ex-rights ,
Ex-rights date ,
First In First Out ,
Federal Savings and Loan Association ,
Frozen account ,
Flight to quality ,
Floating-rate bond ,
Flow of funds ,
Fill or kill ,
Firm quotation ,
Floor broker ,
Front-ending an order ,
Full-service brokerage ,
Floating exchange rate ,
Foreign currency option ,
Foreign exchange rate ,
Forward exchange rate ,
Forward P/E ,
Factors of production ,
Favorable balance of trade ,
Federal Reserve Discount Rate ,
Futures option ,
Form 8-K ,
Form S-1 ,
Firm commitment offering ,
Friends and family offering ,
Fair Credit Reporting Act ,
Fair Debt Collection Practices Act ,
Firm commitment lending ,
Fixed rate ,
Fixed-rate loan ,
Fixed-Rate Mortgage ,
Floating rate ,
Forward interest rate ,
Forward Rate Agreement ,
Full faith and credit ,
Family of funds ,
Fund of funds ,
Far option ,
Free and clear ,
Federal Insurance Contributions Act ,
Flexible spending account ,
Free right of exchange ,
Federal tax lien ,
General account ,
Glass-Steagall Act ,
G-7 ,
General Agreement on Tariffs and Trade ,
G-8 ,
General lien ,
Growth and income fund ,
Gather in the stops ,
Hart-Scott-Rodino Act of 1976 ,
Hit the bid ,
House account ,
House of issue ,
Health Insurance Portability and Accountability Act ,
Holder in due course ,
Home equity line of credit ,
Home Mortgage Disclosure Act ,
Highly compensated employee ,
Head and shoulders ,
Hammering the market ,
Held at the opening ,
Historical trading range ,
Holding the market ,
Inactive account ,
Insured account ,
In escrow ,
Interest rate collar ,
Interest rate risk ,
Interest rate swap ,
Independent broker ,
In-house ,
Institutional brokerage ,
Introducing broker ,
Investment Advisor Act of 1940 ,
Investment Company Act of 1940 ,
In line ,
Inflation rate ,
Interest rate futures ,
Interbank Rate ,
Insurance broker ,
Insider trading ,
Insider Trading sanctions Act of 1984 ,
Internal Rate of Return ,
Indication of interest ,
Inc. ,
In intestacy ,
Interest rate ,
Interest rate cap ,
Interest rate ceiling ,
Interest rate floor ,
In play ,
In-process research and development ,
Index option ,
Interest rate option ,
I/O strip ,
In-service withdrawal ,
Imbalance of orders ,
In and out ,
In sympathy ,
Intermarket Trading System ,
In the tank ,
Joint account ,
Jointly and severally ,
Jumping the gun ,
Joint and several liability ,
Joint and survivor annuity ,
Know Your Customer ,
Knock-out option ,
Last In First Out ,
Lender of last resort ,
Law of one price ,
Lending at a rate ,
Limit-on-close order ,
Limit order ,
Limit order book ,
Limit order information system ,
Law of demand ,
Law of supply ,
Last trading day ,
London International Financial Futures and Options Exchange ,
London Inter-Bank Offer Rate ,
Letter of comment ,
Legal age ,
Lien ,
Lien affidavit ,
Line of credit ,
Loan-to-cost ,
Loan-to-value ,
Lock-in ,
Lapsed option ,
Listed option ,
Leading the market ,
Locked in ,
Long-term gain or loss ,
Level I quotes ,
Money order ,
Matrix trading ,
Make a market ,
Managed account ,
Margin account ,
Margin rate ,
Market if touched order ,
Market on close order ,
Market order ,
Mark-to-market ,
Member firm ,
Medium of exchange ,
Marginal propensity to consume ,
Mortgage lien ,
Market rate ,
Money at call ,
Mortgage broker ,
Mortgage rate ,
Mill rate ,
Mixed account ,
Negotiable certificate of deposit ,
Negotiable Order of Withdrawal ,
Nostro account ,
NOW ,
Nominal rate ,
Notice of Sale ,
NASD ,
NASD Regulation ,
National Association of Securities Dealers ,
National Association of Securities Dealers Automated Quotations system ,
No limit order ,
Nonmember firm ,
No quote ,
Non-equity option ,
No-Fault ,
No-Action Letter ,
Null and void ,
No-lien affidavit ,
Notice of Default ,
Notional principal amount ,
No-load ,
Naked option ,
Near option ,
Non-qualified stock option ,
Non-statutory stock option ,
National Association of Real Estate Investment Trusts ,
Normal retirement age ,
No-load stock ,
No book ,
Off the books ,
Office of Thrift Supervision ,
Out-of-favor ,
Over-the-Counter ,
Off-floor order ,
On-floor order ,
Online broker ,
On margin ,
Open order ,
Option account ,
Or better ,
Order ,
Order flow ,
Order ticket ,
Outside broker ,
Operating rate ,
Omnibus account ,
Option ,
Opinion of title ,
On account ,
On-the-spot loan ,
Original principal balance ,
Option income fund ,
Option chain ,
Option contract ,
Option holder ,
Option margin ,
Option pool ,
Option premium ,
Option price ,
Option pricing curve ,
Options Clearing Corporation ,
Option series ,
Option spread ,
Options Prices Reporting Authority ,
Option writer ,
Out of the money ,
Old age, survivors, and disability insurance ,
On-balance volume ,
On close ,
On open ,
On the opening ,
Option exchange ,
Order book official ,
Order imbalance ,
Owner-employee ,
Pooling of interests ,
Profit and loss statement ,
Pass-through coupon rate ,
Payment-in-kind security ,
Price Value of a Basis Point ,
Prior lien bond ,
Payment for order flow ,
Prime broker ,
Prime brokerage ,
P&L ,
Power of Attorney ,
Prime rate ,
Principal ,
Principal amount ,
Principal balance ,
Principal risk ,
Prioritization of debt ,
Prime rate fund ,
Physical option ,
Put option ,
Prudent Expert Act ,
Paid-in capital ,
Paid-in surplus ,
Private Investment in Public Equity ,
Preservation of capital ,
Program trading ,
Point-and-figure chart ,
Painting the tape ,
Paper trading ,
Register ,
Reports and Records ,
Retention rate ,
Return of capital ,
Return on Capital ,
Return on Invested Capital ,
Return on Total Assets ,
Run rate ,
Real interest rate ,
Rate covenant ,
Registered coupon bond ,
Registered security ,
Reading the tape ,
Registered Representative ,
Regulation D ,
Regulation G ,
Regulation T ,
Regulation U ,
Restricted account ,
Retail brokerage ,
Round of funding ,
Rules of Fair Practice ,
Rate of exchange ,
Reciprocal of European terms ,
Real economic growth rate ,
Registered Retirement Savings Plan ,
Red herring ,
Registered Company ,
Regulation A ,
Right of first refusal ,
Right of rescission ,
Right to Know ,
Rate-improvement ,
Rate lock ,
Remaining principal balance ,
Renegotiable rate ,
Revolving line of credit ,
Right of recourse ,
Rule of 78 ,
Registered options principal ,
Real estate broker ,
Right of redemption ,
Retirement Equity Act of 1984 ,
Return on Capital Employed ,
Rate of return ,
Real rate of return ,
Selling, General and Administrative Expenses ,
SG&A ,
Savings account ,
Savings and Loan ,
Sight letter of credit ,
S&L ,
Securities and Exchange Commission ,
Series bond ,
Series EE bond ,
Series HH bond ,
Spot rate ,
Segregation of securities ,
Sell limit order ,
Sell order ,
Sell the book ,
Series 6 ,
Series 63 ,
Series 7 ,
Significant order ,
Small Order Execution System ,
Split order ,
Stop-limit order ,
Stop order ,
Street broker ,
Sweep account ,
Savings rate ,
Standard of living ,
Swap rate ,
Series 3 ,
Spot trading ,
Second-to-die insurance ,
Separate account ,
Settlement options ,
Stock option ,
Stock option plan ,
Statute of Limitations ,
Sale and leaseback ,
Satisfaction of debt ,
Start rate ,
Staggered board of directors ,
Series fund ,
Selling the spread ,
Series ,
Single option ,
Spread option ,
Self-directed retirement account ,
Simplified Employee Pension IRA ,
Selling short against the box ,
Shorting against the box ,
S Corporation ,
Short-term gain or loss ,
Standard mileage rate ,
Subchapter M ,
Subchapter S Corporation ,
Scale order ,
Schedule C ,
Securities Act of 1933 ,
Securities Acts Amendments of 1975 ,
Securities Exchange Act of 1934 ,
Seek a market ,
S&P phenomenon ,
Stop and reverse ,
Suspended trading ,
T-Bill ,
Term to maturity ,
Trading ,
Take a position ,
Time order ,
Trading authorization ,
Trailing P/E ,
Trading range ,
Tenancy by the entirety ,
Teaser rate ,
Truth in Lending ,
Tax lien ,
Tenancy at will ,
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 ,
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 ,
Undermargined account ,
Uniform Securities Act ,
Unlisted trading ,
Unemployment rate ,
Uncovered option ,
Unit of trade ,
Unit of trading ,
Variable rate ,
Williams Act ,
Wrap account ,
Waiver of premium ,
Widow-and-orphan stock ,
W-2 Form ,
W formation ,
When, as, and if issued ,
X or XD ,
Year-To-Date ,
Yield to call ,
Yield to maturity ,
Yield to worst ,
Y shares