|11th District Cost of Funds Index
The 11th District Cost of Funds Index (COFI) is a more...
12b-1 refers to the fees mutual funds pay for marketing more...
12B-1 fees are fees charged by mutual fund companies to more...
144 refers to SEC Rule 144 which allows restricted securities more...
144a is an SEC rule that modifies the two year more...
In the financial industry account executive is an employee of more...
|Aggressive Growth Fund
An aggressive growth fund is a mutual fund whose investment more...
|American Association of Individual Investors
American Association of Individual Investors (AAII) is a Chicago-based, investor more...
|American Stock Exchange
The American Stock Exchange is one of the largest organized more...
Although the term analyst can be associated with a broad more...
The ask price is the lowest price at which an more...
Asset allocation is the dividing of one's investment portfolio among more...
|Asset Allocation Fund
An asset allocation fund is a single mutual fund that more...
Asset management can refer to the primary activity of a more...
|Automated Order Entry System
An automated order entry system is a computer system installed more...
In accounting, the balance of an account is defined as more...
Yields on fixed-income securities fluctuate regularly, but may change only more...
Basis points are the number of points often used to more...
Boiler room is an unflattering term used to describe a more...
|Broker Loan Rate
The broker loan rate, also known as the call money more...
A broker recommendation is an opinion given by a broker more...
A broker/dealer is an individual or a firm which is more...
Brokerage refers to a licensed firm or an individual (known more...
A brokerage house is a place from which a broker more...
A bull is an investor who purchases a financial instrument more...
|Buy on Close
A buy on close order is an order to buy more...
|Buy on Opening
A buy on opening order is an order to your more...
A buy order is an order to buy a stock more...
|Buying on Margin
When investors engage in buying on margin, they borrow money more...
|CDR Counterparty Risk Index
The CDR counterparty risk index is a measure of credit more...
|Certified Financial Planner
Certified Financial Planner, or CFP, is a financial professional who more...
Churning means excessive buying and selling in a client's account more...
A closed-end fund is legally known as a closed-end management more...
A commercial hedger is a corporation that attempts to stabilize more...
A commission is a fee paid to a third party more...
Daisy chaining is an illegal practice undertaken by brokers and more...
A day trader is market participant who generally closes out more...
A dealer is an individual or entity that buys and more...
|Deep Discount Broker
A deep discount broker is a financial professional who executes more...
A discount broker is a stock broker offering low commission more...
|Dressing Up a Portfolio
Dressing up a portfolio refers to the practice of some more...
Financial analyst is a finance professional who studies and reports more...
A full-service brokerage offers investment research, tax advice, and retirement more...
A fund family is a set of related funds, usually more...
A fund manager is an investment professional, who manages the more...
|Fund of Funds
A fund of funds is an investment vehicle that invests more...
A hedge fund is a private investment vehicle for institutional more...
A hidden load is a charge that an investor pays more...
An HYIP investment is a High Yield Income Program. more...
An institutional brokerage is a an investment brokerage house or more...
An institutional investor is an organization that trades securities for more...
Institutional shares are a class of shares made available by more...
An insurance agent is an individual approved by the state more...
An insurance broker is a professional that helps consumers and more...
In finance and business, an investment is an asset purchased more...
An investment adviser is someone who recommends the best ways more...
An investment bank is an institution that performs a variety more...
An investment company is a firm whose business is to more...
An investment newsletter is a publication designed to help investors more...
An investment strategy is an investment approach taken to effectively more...
An investor is a person or entity that purchases assets more...
A jitney is a fraudulent investment practice in which two more...
A kickback is a payment of money, favors, or some more...
A kill is defined as a cancellation of an order more...
|Know Your Client
Know your client, or "KYC", are the ethical and practice more...
|Know Your Customer
Know your customer, or "KYC" refers to guidelines of securities more...
In the financial sense, a maintenance fee is a fixed more...
A managed account is an investment account that is managed more...
Margin is money borrowed from a broker for trading purposes. more...
A margin account allows a trader or investor to buy more...
A margin agreement is a securities customer agreement signed by more...
A margin call is the demand by a brokerage that more...
A margin loan is a loan made by a broker more...
Margin rate has multiple financial meanings. The margin rate more...
|Mark to Market
Mark to market is an accounting calculation tracking the current more...
Money management is the managing of different uses of money more...
In financial services, a money manager is a general term more...
|Money Market Account
A money market account is a savings account that offers more...
A mortgage banker is an individual or organization that acts more...
Like a traditional broker, an online broker executes trades for more...
Portfolio insurance is a strategy used to reduce risk and more...
Determining the mix of assets to hold in a portfolio more...
A portfolio manager is the asset management professional who makes more...
Portfolio turnover refers to the measure of trading activity in more...
Qualified Institutional Buyer (or QIB) is a legal designation assigned more...
|Quid Pro Quo
The term quid pro quo derives from Latin and literally more...
A rainmaker is an employee who generates a significant amount more...
|Real Estate Broker
A real estate broker is a real estate agent that more...
A brokerage that primarily serves retail investors rather than institutional more...
An RIA is a Registered Investment Advisor. The term refers more...
A sell order is an order to sell a stock more...
A stop order is an order to automatically liquidate a more...
A stop-limit order automatically liquidates a stock at a specific more...
A stop-loss is used to specify a price at which more...
An investor is stopped out of a position when a more...
The Swedish krona is the currency of Sweden. As more...
The Swiss franc is the currency of Switzerland. CHF more...
|Term Life Insurance Quote
A term life insurance quote is an estimate of the more...
Transaction costs are costs incurred to complete a financial transaction. more...
An underwriter gives financial support and takes responsibility for paying more...
|Wall Street Analyst
A Wall Street analyst is a security analyst who works more...