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Series 65 Vocabulary > Abbreviations > Flashcards

Abbreviations Flashcards

1
Q

ADR/ADS

A

American depository receipt/share

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2
Q

AIR

A

Assumed Interest Rate

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3
Q

APO

A

Additional Public Offering

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4
Q

AMTI

A

Alternative Minimum Taxable Income

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5
Q

AUM

A

Assets Under Management

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6
Q

BCP

A

Business Continuity Plan

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7
Q

BD

A

Broker Dealer

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8
Q

BSA

A

Bank Security Act

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9
Q

BU

A

Bushel

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10
Q

CD

A

Certificate of Deposit

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11
Q

CEF

A

Closed-end Fund

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12
Q

CFTC

A

Commodity Futures Trading Commission

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13
Q

CIP

A

Customer Identification Program

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14
Q

CMO

A

Collateralized Mortgage Obligation

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15
Q

CMV

A

Current Market Value

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16
Q

CODA

A

Cash or Deferred Arrangement

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17
Q

COGS

A

Cost of Good Sold

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18
Q

CPI

A

Consumer Price Index

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19
Q

CY

A

Current Yield

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20
Q

DCF

A

Discounted Cash Flow

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21
Q

DJIA

A

Dow Jones Industrial Average

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22
Q

DMA

A

Direct Market Access

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23
Q

DMM

A

Designated Market Maker

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24
Q

DPP

A

Direct Participation Program

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25
Q

EE

A

Series EE Savings Bonds

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26
Q

EIA

A

Equity Index Annuity

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27
Q

ELN

A

Equity Linked Note

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28
Q

EPS

A

Earnings Per Share

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29
Q

ERA

A

Exempt Reporting Advisor

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30
Q

ERISA

A

Employee Retirement Income Security Act of 1974

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31
Q

ESG

A

Environmental, Social, and governance investing

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32
Q

ETF

A

Exchange-traded fund

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33
Q

ETN

A

Exchange-traded note

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34
Q

FAC

A

Face-amount Certificate

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35
Q

Fed

A

Federal Reserve System

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36
Q

FDIC

A

Federal deposit insurance corporation

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37
Q

FIFO

A

First in, first out

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38
Q

FINRA

A

Financial industry regulatory authority

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39
Q

FMV

A

Fair market value

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40
Q

FNMA

A

Federal national mortgage association

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41
Q

FOMC

A

Federal Open Market Committee

42
Q

FRB

A

Federal Reserve board

43
Q

GDP

A

Gross domestic product

44
Q

GIC

A

Guaranteed investment contract

45
Q

GNMA

A

Government National mortgage association

46
Q

GO

A

General obligation bond

47
Q

HFT

A

High-frequency trading

48
Q

HNW

A

High net worth

49
Q

IA

A

Investment adviser

50
Q

IAR

A

Investment adviser representative

51
Q

IARD

A

Investment adviser registration depository

52
Q

IPO

A

Initial public offering

53
Q

IRA

A

Individual Retirement Account

54
Q

IRC

A

Internal revenue code

55
Q

IRS

A

Internal Revenue Service

56
Q

JTIC

A

Joint tenants in common

57
Q

JTWROS

A

Joint tenants with right of survivorship

58
Q

LIFO

A

Last in, first out

59
Q

LOI

A

Letter of intent

60
Q

MNPI

A

Material nonpublic information

61
Q

MRD

A

Minimum required distribution

62
Q

MSRB

A

Municipal Securities Rulemaking Board

63
Q

NASAA

A

North American securities administrators association

64
Q

Nasdaq

A

National association of securities dealers automated quotation system

65
Q

NAV

A

Net asset value

66
Q

NIRP

A

Negative interest-rate policy

67
Q

NL

A

No load

68
Q

NYAE

A

New York stock exchange

69
Q

OTC

A

Over the counter

70
Q

PE

A

Price-to-earnings ratio

71
Q

PII

A

Personally identifiable information

72
Q

POA

A

Power of attorney

73
Q

POD

A

Payable on death

74
Q

POP

A

Public offering price

75
Q

RAUM

A

Regulatory assets under management

76
Q

REIT

A

Real estate investment trust

77
Q

RF

A

Risk-free rate

78
Q

SEC

A

Securities and exchange commission

79
Q

SEP

A

Simplified employee pension plan

80
Q

SERP

A

Supplemental executive retirement plan

81
Q

SIPC

A

Securities investor protection corporation

82
Q

SPO

A

Subsequent public offering

83
Q

SRO

A

Self-regulatory organization

84
Q

STRIPS

A

Separate trading of registered interest and principal of securities

85
Q

TBE

A

Tenants by the entirety

86
Q

TIC

A

Tenants in common

87
Q

TOD

A

Transfer on death

88
Q

TSA

A

Tax-sheltered annuity

89
Q

TVA

A

Tennessee valley authority

90
Q

UGMA/UTMA

A

Uniform Gift (transfer) to minors act

91
Q

UIT

A

Unit investment trust

92
Q

UPIA

A

Uniform prudent investors act

93
Q

USA

A

Uniform securities act

94
Q

UVL

A

Universal variable life insurance

95
Q

VLI

A

Variable life insurance

96
Q

YLD

A

Yield

97
Q

YTC

A

Yield to call

98
Q

YTM

A

Yield to maturity

99
Q

ZIRP

A

Zero interest-rate policy

100
Q

ZR

A

Zero coupon

Series 65 Vocabulary (3 decks)

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