SIE Abbreviations

Question 1

OCC

Answer 1

Options Clearing Corporation

Question 2

DTCC

Answer 2

Depository Trust and Clearing Corporation

Question 3

SAI

Answer 3

Statement of Additional Information

Question 4

IPO

Answer 4

Initial Public Offering

Question 5

FPO, SPO, APO

Answer 5

Follow-on Public Offering
Subsequent Public Offering
Additional Public Offering

Question 6

SO

Answer 6

Secondary Offering

Question 7

SEC

Answer 7

Securities Exchange Commission

Question 8

SRO

Answer 8

Self-Regulatory Organization

Question 9

FINRA

Answer 9

Financial Industry Regulatory Authority

Question 10

CBOE

Answer 10

Chicago Board of Options Exchange

Question 11

MSRB

Answer 11

Municipal Securities Rulemaking Board

Question 12

OTC

Answer 12

Over the Counter

Question 13

ECNs

Answer 13

Electronic Communication Networks

Question 14

UIT

Answer 14

Unit Investment Trust

Question 15

DOT

Answer 15

Department of Treasury

Question 16

FinCEN

Answer 16

Financial Crimes Enforcement Network

Question 17

SAR

Answer 17

Suspicious Activity Report

Question 18

CTR

Answer 18

Currency Transaction Report

Question 19

AML

Answer 19

Anti-Money Laundering

Question 20

CIP

Answer 20

Customer Identification Program

Question 21

OFAC

Answer 21

Office of Foreign Asset Control

Question 22

SDNs

Answer 22

Specially Designated Nationals and Blocked Persons

Question 23

NASDAQ

Answer 23

National Association of Securities Dealers Automated Quotations Exchange

Question 24

BOD

Answer 24

Board of Directors

Question 25

STRIPS

Answer 25

Separately Trading of Registered Interest and Principal Securities

Question 26

GNMA

Answer 26

Government National Mortgage Association

Question 27

NAV

Answer 27

Net Assest Value

Question 28

POP

Answer 28

Public Offer Price

Question 29

REIT

Answer 29

Real Estate Investment Trust

Question 30

DPP

Answer 30

Direct Partnership Program

Question 31

ETFs

Answer 31

Exchange Traded Products

Question 32

FRB

Answer 32

Federal Reserve Board

Question 33

FOMC

Answer 33

Federal Open Market Committee

Question 34

GDP

Answer 34

Gross Domestic Product

Question 35

GNP

Answer 35

Gross National Product

Question 36

ADR

Answer 36

American Depository Receipt

Question 37

SIPC

Answer 37

Securities Investor Protection Corporation

Question 38

FDIC

Answer 38

Federal Deposit Insurance Corporation

Question 39

GTC

Answer 39

Good til Cancelled

Question 40

UGMA

Answer 40

Uniform Gift to Minors Act

Question 41

UTMA

Answer 41

Uniform Transfer to Minors Act

Question 42

RMD

Answer 42

Required Minimum Distribution

Question 43

ESA

Answer 43

Education Savings Account

Question 44

ABLE

Answer 44

Achieving a Better Life Experience