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Series 66 > Abbreviations > Flashcards

Flashcards in Abbreviations Deck (96)
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1

AIR

Assumed Interest Rate

2

APO

Additional Public Offering

3

ATS

Alternative Trading System

4

AUM

Assets Under Management

5

BA

Banker's Acceptance

6

BCP

Business Continuity Plan

7

BD

Broker-Dealer

8

CD

Certificate of Deposit

9

CEF

Closed-End Fund

10

CEO

Chief Executive Officer

11

CIP

Customer Identification Program

12

CMO

Collateralized Mortgage Obligation

13

CMV

Current Market Value

14

CPI

Consumer Price Index

15

CFTC

Commodity Futures Trading Commission

16

CY

Current Yield

17

DCF

Discounted Cash Flow

18

DJIA

Dow Jones Industrial Average

19

DMA

Direct Market Access

20

DMM

Designated Market Maker

21

DPP

Direct Participation Program

22

EE

Series EE savings bond

23

EIA

Equity Index Annuity

24

ELN

Equity-Linked Note

25

EPS

Earning Per Share

26

ERA

Exempt Reporting Adviser

27

ERISA

Employee Retirement Income Security Act of 1974

28

ETF

Exchange Traded Fund

29

ETN

Equity-Traded Note

30

FAC

Face Amount Certificate

31

Fed

Federal Reserve System

32

FDIC

Federal Deposit Insurance Corporation

33

FIFO

First In, First Out

34

FINRA

Financial Industry Regulatory Authority

35

FMV

Fair Market Value

36

FNMA

Federal National Mortgage Association

37

FOMC

Federal Open Market Committee

38

FRB

Federal Reserve Board

39

GDP

Gross Domestic Product

40

GIC

Guaranteed Investment Contract

41

GNMA

Government National Mortgage Association

42

GO

General Obligation bond

43

HFT

High Frequency Trading

44

HNW

High Net Worth

45

IA

Investment Adviser

46

IAR

Investment Adviser Representative

47

IARD

Investment Adviser Registration Depository

48

IPO

Initial Public Offering

49

IRA

Individual Retirement Account

50

IRC

Internal Revenue Code

51

IRS

Internal Revenue Service

52

JTIC

Joint Tenants In Common

53

JTWROS

Joint Tenants With Rights Of Survivorship

54

LIFO

Last In, First Out

55

LOI

Letter Of Intent

56

MSRB

Municipal Securities Rulemaking Board

57

NASAA

North American Securities Administrators Association

58

Nasdaq

National Association of Securities Dealers Automated Quotation system

59

NAV

Net Asset Value

60

NIRP

Negative Interest Rate Policy

61

NL

No Load

62

NYSE

New York Stock Exchange

63

OTC

Over The Counter

64

PE

Price to Earnings ratio

65

PII

Personally Identifiable Information

66

POA

Power Of Attorney

67

POD

Payable On Death

68

REIT

Real Estate Investment Trust

69

RF

Risk-Free rate

70

SEC

Securities Exchange Commission

71

SEP

Simplified Employee Pension plan

72

SIPC

Securities Investor Protection Corporation

73

SPO

Subsequent Public Offering

74

SRO

Self-Regulatory Organization

75

STRIPS

Separate Trading of Registered Interest and Principal of Securities

76

TIC

Tenants In Common

77

TOD

Transfer On Death

78

TSA

Tax-Sheltered Annuity

79

TVA

Tennessee Valley Authority

80

UGMA

Uniform Gift to Minors Act

81

UTMA

Uniform Transfer to Minors Act

82

UIT

Unit Investment Trust

83

UVL

Universal Variable Life insurance

84

VLI

Variable Life Insurance

85

YLD

Yield

86

YTC

Yield To Call

87

YTM

Yield To Maturity

88

ZIRP

Zero Interest Rate Policy

89

ZR

Zero Coupon

90

UPIA

Uniform Prudent Investor Act

91

ILIT

Irrevocable Life Insurance Trust

92

DNI

Distributable Net Income

93

CAPM

Capital Asset Pricing Model

94

EMH

Efficient Market Hypothesis

95

DRIP

Dividend Reinvestment Plan

96

EAFE

Europe, Australasia and Far East index