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Frauds and Scams
Below you will find a complete index of our covered "Frauds and Scams" topics.
- 10K Or Form 10K Also Known As An Annual Report
- 10Q Or Form 10K, Also Known As A Quarterly Report
- 12B-1 Fees
- AAA
- Absorption Point
- Abusive Tax Shelter
- Abusive Trust
- Acceleration Clause
- Account Executive (AE)
- Accounts Payable
- Accounts Receivable
- Accounts Receivable Financing
- Accredited Investor
- Accrual Basis
- Accumulated Dividend
- Accumulation Account
- Acid Test Ratio
- Acquisition
- Across The Board
- ACT (Automated Confirmation Transaction Service)
- Acting In Concert
- Actuals
- Administrator
- ADR (American Depositary Receipt)
- Advance Fee Scam
- Adverse Trustee
- Affidavit Of Domicile
- Affiliated Person
- Aftertax Real Rate Of Return
- Agency Transaction
- Aggressive Growth Fund
- American Depositary Receipt (ADR)
- American Stock Exchange (AMEX Or ASE)
- Analyst
- Annual Meeting
- Annual Report
- Annuitant
- Annuity
- Answer
- Antitrust
- Appreciation
- Approved List
- APT (Asset Protection Trust)
- APTC (Association Of Publicly Traded Companies)
- Arbitrage
- Arbitral Immunity
- Arbitration
- Arbitrator
- Arms Length Transaction
- Arrearage
- Articles Of Incorporation
- Asset
- Asset Management Account (AMA)
- Asset Manager
- Asset Protection Trust (APT)
- Associated Person
- Association Of Publicly Traded Companies (APTC)
- Auditor's Report
- Automated Confirmation Transaction Service (ACT)
- Award
- Baby Bond
- Bad Debt
- Badges Of Fraud
- Balance Sheet
- Balloon
- Bank Guarantee Letter
- Bank Of International Settlements (BIS)
- Bankmail
- Bankruptcy
- Bear And Bull Markets
- Bearer Bond
- Bearer Form
- Bellwether
- Beneficial Owner
- Beneficiary
- Best Execution Requirement
- Blank Check Company
- Blind Trust
- Block
- Block Trade
- Blue-Sky Laws
- Board Of Governors
- Board Of Trustees
- Boiler Room
- BOM (Branch Office Manager)
- Bond
- Book-Entry Securities
- Branch Office
- Branch Office Manager (BOM)
- Bridge Loan
- British West Indies (BWI)
- Broker
- Broker-Dealer
- Bucket Shop
- Bucketing
- Bull And Bear Markets
- Business Conduct Committee
- Business Trust
- Buying On Margin
- Bypass Trust
- Call
- Capital Asset
- Capital Gain
- Capital Gains Distribution
- Capital Loss
- Capital Stock
- Caribbean Common Market (CARICOM)
- Cartel
- Cash Account
- Central Bank
- Central Computer Complex
- Central Registration Depository (CRD)
- Certificate
- Certificate Of Deposit (CD)
- Certified Financial Planner
- Certified Public Accountant
- Chapter 11
- Chapter 7
- Charity Room
- Chicago Board Of Trade (CBT)
- Chicago Board Options Exchange (CBOE)
- Chicago Mercantile Exchange
- Chinese Wall
- Churning
- Claim
- Clearance
- Closer
- Closing Ratio
- Cold Calling
- Collateral
- Comfort Letter
- Commercial Paper
- Commissions
- Committee Of Advisors
- Committee Of Trust Protectors
- Committee On Uniform Security Identification Procedures (CUSIP) Number
- Commodities
- Common Stock
- Community Property
- Companies Act Or Ordinance
- Compliance Departments
- Confirmation
- Consumer Price Index (CPI)
- Controlled Foreign Corporation (CFC)
- Convertible Bond
- Cook The Books
- Cooling Off Period
- Corporate Bond
- Corporation
- Coupon Bond
- CRD (Central Registration Depository)
- Creator
- Current Account
- Current Assets
- Current Liabilities
- CUSIP (Committee On Uniform Security Identification Procedures) Number
- Custodial Account
- Custodian
- Customer Agreement
- Customer Protection Rule
- Customer Service Department
- Dealer
- Death Spiral
- Debenture
- Debt
- Debt Instrument
- Debt Retirement
- Debtor
- Declaration Of Trust
- Deduction
- Deferral Of Taxes
- Deferred Account
- Deferred Annuity
- Deferred Interest Bond
- Deficiency Letter
- Deficit Spending
- Defined Benefit Pension Plan
- Deflation
- Demand Deposit
- Deposit
- Depositary Bank
- Depository Trust Company (DTC)
- Depreciation
- Depression
- Derivative Instrument
- Direct Participation Programs
- Direct Public Offering
- Director
- Discharge Of Bankruptcy
- Discharge Of Lien
- Discount Broker
- Discount Rate
- Discount Window
- Discretionary Account
- Discretionary Income
- Discretionary Order
- Discretionary Trust
- Disinvestment
- Disposable Income
- Dissolution
- Distributing Syndicate
- Distributions
- Diversification
- Diversified Investment Company
- Divestiture
- Dividend
- Dividend Record
- Dividend Reinvestment Plan (DRIP)
- Dividend Requirement
- Dividend Yield
- Dividends Payable
- Dollar Bond
- Donor
- Double Taxation
- Dow Jones Composite
- Dow Jones Industrial Average (DJIA)
- Dow Jones Transportation Average (DJTA)
- Dow Jones Utility Average (DJUA)
- DPP (Direct Participation Program)
- Draining Reserves
- DRIP (Dividend Reinvestment Plan)
- DTC (Depository Trust Company)
- Dual Listing
- Dual Purpose Investment Company
- Due Diligence
- Dumping
- Dun & Bradstreet (D & B)
- Dutch Auction
- Earned Before Taxes
- Earned Income
- Earnings
- Earnings Before Interest And Taxes (EBIT)
- Earnings Momentum
- Earnings Per Share (EPS)
- Earnings Price Ratio (EPR)
- Earnings Report
- Eastern Account
- EC
- Econometrics
- Economic Growth Rate
- Economic Indicators
- ECU
- EDGAR
- EEC
- Effective Date
- Effective Debt
- Effective Rate
- Effective Sale
- Eligible Paper
- Employee Retirement Income Security Act (ERISA)
- Employee Stock Ownership Plan (ESOP)
- Employment Scheme
- Endorse
- Energy Mutual Fund
- Engineering Report
- Entrepreneur
- Equity
- Equity Financing
- Equity Funding
- Equity REIT
- Equivalent Taxable Yield
- ERISA (Employee Retirement Income Security Act Of 1974)
- Erroneous Report Rule
- Escheat
- Escrow
- Escrow Receipt
- ESOP (Employee Stock Ownership Plan)
- Estate
- Estate Tax
- Estate Tax Anticipation Bonds
- Estimated Tax
- Eurobond
- Eurocurrency
- Eurodollar
- Eurodollar Bond
- Event Risk
- Ex Parte
- Ex-Legal
- Ex-Rights
- Ex-Warrants
- Exact Interest
- Excess Margin
- Excess Profits Tax
- Exchange Distribution
- Exchange Privilege
- Exchange Rate
- Execution
- Executive Session
- Executor
- Executrix
- Exempt Accounts
- Exempt Securities
- Exempt Transaction
- Exercise
- Exercise Limit
- Exercise Notice
- Exercise Price
- EXIM (Export-Import Bank)
- Exit Fee
- Expense
- Expense Ratio
- Expiration
- Expiration Cycle
- Expiration Date
- Export-Import Bank (EXIM)
- External Funds
- Extra Dividend
- Extraordinary Item
- GAAP (Generally Accepted Accounting Principles)
- Gamma Stocks
- Gap
- Garbatrage
- Gather In The Stops
- General Account
- General Ledger
- General Lien
- General Loan And Collateral Agreement
- General Mortgage
- General Mortgage Bond
- General Obligation Bond
- General Partner
- Generally Accepted Accounting Principles (GAAP)
- Ghosting
- Gift Tax
- Gilt Edged Security
- Ginnie Mae
- Ginnie Mae Pass Through
- Glamour Stock
- Global Mutual Fund
- GmbH
- GNMA (Government National Mortgage Association)
- GNP (Gross National Product)
- Go-Go Fund
- Going Ahead
- Going Away
- Going Concern Value
- Going Long
- Going Private
- Going Public
- Going Short
- Gold Bond
- Gold Fix
- Gold Mutual Fund
- Gold Standard
- Goldbug
- Golden Parachute
- Good Delivery Of Securities
- Good Through
- Good-Til-Canceled Order (GTC)
- Goodwill
- Government Agency Securities
- Government Bond
- Government National Mortgage Association (GNMA)
- Government Obligations
- Government Securities Broker
- Governments
- Graduated Securities
- Graham And Dodd Method Of Investing
- Grantor
- Grantor Trust
- Graveyard Market
- Greater Fool Theory
- Green Shoe
- Greenmail
- Gross National Product (GNP)
- Gross Per Broker
- Gross Profits
- Gross Spread
- Group Of Ten
- Group Sales
- Growth And Income Fund
- Growth Fund
- Growth Stock
- Growth Stock Theory
- GTC (Good-Til-Canceled)
- Guarantee Letter
- Guaranteed Bond
- Guaranteed Stock
- Gun Jumping
- Haircut
- Half Life
- Half Stock
- Hammering The Market
- Hard Dollars
- Head And Shoulders Pattern
- Heavy Market
- Hedge Clause
- Hedge Fund
- Hedging
- Hemline Theory
- High Flyer
- High Grade Bond
- High Net Worth (HNW) Person
- High Premium Convertible Debenture
- High Yield Bond
- High-Tech Stock
- Highs
- Historical Trading Range
- Historical Yield
- Hit The Bid
- HNW (High Net Worth) Person
- Holder
- Holder Of Record
- Holding Period
- Home Run
- Homestead Exemption
- Horizontal Price Movement
- Horizontal Spread
- Hot Issue
- Hot Money
- Hot Stock
- House
- House Account
- House Call
- House Maintenance Requirement
- House Rules
- Hulbert Rating
- Hung Up
- Hybrid Annuity
- Hypothecation
- IARD (Investment Advisor Registration Depository)
- IBC (International Business Company)
- ICI (Investment Company Institute)
- Illegal Dividend
- Illiquid
- Imbalance Of Orders
- Immediate Family
- Immediate Payment Annuity
- Immediate-Or-Cancel Order (IOC)
- Impaired Capital
- Imputed Income
- Imputed Interest
- In Play
- In The Money
- In The Tank
- In-And-Out Trader
- Inactive Asset
- Inactive Post
- Inactive Stock/Bond
- Inbound
- Incentive Stock Option
- Income Bond
- Income Limited Partnership
- Income Mutual Fund
- Income Property
- Income Shares
- Income Statement
- Income Stock
- Incomplete Gift
- Incorporation
- Incremental Cash Flow
- Indemnify
- Indenture
- Independent Broker
- Independent Trustee
- Index
- Index Arbitrage
- Index Fund
- Index Option
- Indexing
- Indicated Yield
- Indication
- Indication Of Interest
- Indicators
- Individual Investor
- Individual Retirement Account (IRA)
- Industrial
- Industrial Development Bond (IDB)
- Industrial Production
- Industry Support Information Services (ISIS)
- Inefficiency In The Market
- Inflation
- Inflation Rate
- Ingot
- Initial Margin Requirement
- Initial Public Offering (IPO)
- Inside Information
- Inside Market
- Inside Quote
- Insider
- Insider Trading
- Insider Trading Bounty Program
- Insolvency
- Installment Sale
- Instinet
- Institutional Broker
- Institutional Broker's Estimate System (IBES)
- Institutional Investor
- Instrument
- Instrumentality
- Insurance
- Insured Account
- Insured Bonds
- Intangible Assets
- Inter Vivos Trust
- Intercommodity Spread
- Interdelivery Spread
- Interest
- Interest Rate Options
- Interest Sensitive Stock
- Interim Dividend
- Interim Statement
- Interlocking Directorate
- Intermarket Surveillance Group (ISG)
- Intermarket Trading System (ITS)
- Intermediary
- Intermediate Term
- Intermediation
- Internal Control
- Internal Expansion
- Internal Financing
- International Business Company (IBC)
- International Financial And Banking Centre (IFC)
- International Fiscal Police (INTERFIPOL)
- International Mutual Funds
- International Organization Of Securities Commissions (IOSCO)
- International Trust
- INTERPOL (International Criminal Police Organization)
- Intra-State Offering
- Intraday
- Intrinsic Value
- Inventory Turnover
- Inverted Scale
- Investment
- Investment Advisor
- Investment Advisor Registration Depository (IARD)
- Investment Advisors Act
- Investment Banker
- Investment Banking, Securities Business
- Investment Certificate
- Investment Club
- Investment Company
- Investment Company Act Of 1940
- Investment Company Institute (ICI)
- Investment Counsel
- Investment Grade
- Investment Income
- Investment Letter
- Investment Strategy
- Investment Strategy Committee
- Investment Value Of A Convertible Security
- Investor Relations Department
- Investors Service Bureau
- IOC (Immediate Or Cancel)
- IOSCO (International Organization Of Securities Commissions)
- IPO (Initial Public Offering)
- IRA (Individual Retirement Account)
- IRA Rollover
- Irredeemable Bond
- ISG (Intermarket Surveillance Group)
- ISIS (Industry Support Information Services)
- Issue
- Issued And Outstanding
- Issued Shares
- Issuer
- ITS (Intermarket Trading System)
- Joint Account
- Joint Account Agreement
- Joint And Survivor Annuity
- Joint Bond
- Joint Tenancy (JT)
- Joint Tenants By Entirety
- Joint Tenants In Common (JTIC)
- Joint Tenants With Right Of Survivorship (JTWROS)
- JT (Joint Tenancy)
- JTIC (Joint Tenants In Common)
- JTWROS (Joint Tenants With Right Of Survivorship)
- Jumbo Certificate Of Deposit
- Junior Issue
- Junior Refunding
- Junior Securities
- Junk Bond
- Justified Price
- Key Industry
- Kicker
- Killer Bees
- Kiting
- Know Your Customer
- Krugerrand
- Lapsed Option
- Last Sale
- Last-In First-Out (LIFO)
- Late Tape
- Layered Trusts
- Layering
- LBO (Leveraged Buyout)
- Leader
- Leading Indicators
- Leg
- LEGAL
- Legal Entity
- Legal Investment
- Legal List
- Legal Opinion
- Legal Transfer
- Legging Out
- Letter Of Intent (LOI)
- Letter Of Testamentary
- Letter Of Wishes (LOW)
- Letter Security
- Level Debt Service
- Level I Service Of NASDAQ
- Level II Service Of NASDAQ
- Level III Service Of NASDAQ
- Leveraged Buyout (LBO)
- Leveraged Company
- Leveraged Investment Company
- Levy
- Liability
- LIFO
- Lift
- Limit Order
- Limit Price
- Limit Up, Limit Down
- Limited Company
- Limited Discretion
- Limited Liability
- Limited Liability Company (LLC)
- Limited Partner
- Limited Partnership (LP)
- Limited Risk
- Liquid Asset
- Liquidate
- Liquidation
- Liquidity
- Liquidity Ratio
- Listed Option
- Listed Security
- Listing Requirements
- Living Trust
- LLLP
- LLP
- Load
- Load Mutual Fund
- Load Spread Option
- Loan
- Loan Consent Agreement
- Loan Value
- Lock Box
- Locked In
- Locked Market
- LOI (Letter Of Intent)
- Long
- Long Bond
- Long Coupon
- Long Hedge
- Long Leg
- Long Market Value
- Long Position
- Long Term
- Long Term Debt
- Low
- LP (Limited Partnership)
- Lump-Sum Distribution
- M1
- M2
- Macroeconomics
- Maintenance Call
- Maintenance Fee
- Majority Shareholder
- Make A Market
- Maloney Act Of 1938
- Management Fee
- Manipulation
- Margin
- Margin Account
- Margin Agreement
- Margin Call
- Margin Department
- Margin Requirement
- Margin Security
- Mark To Market
- Market
- Market Analysis
- Market Breadth
- Market Maker
- Market Order
- Market Price
- Market Risk
- Market Timing
- Marketable Securities
- Maturity Date
- Mavera Injunction
- Medium Term Bond
- Member
- Member Firm
- Member Short Sales Ratio
- Memorandum Of Association
- Merger
- Microeconomics
- Minimum Maintenance Requirement
- Minority Interest
- Misrepresentation
- Missing The Market
- Mixed Account
- Money Market
- Money Market Fund
- Money Supply
- Monthly Investment Plan
- Mooch
- Moody's Investment Grade
- Moody's Investors Service
- Most Active List
- Moving Average
- MSRB (Municipal Securities Rulemaking Board)
- Municipal Bond
- Municipal Bond Insurance
- Municipal Securities Rulemaking Board (MSRB)
- Munifacts
- Mutilated Securities
- Mutual Fund
- Mutual Fund "Family"
- Mutual Legal Assistance Treaty (MLAT)
- NAIC (National Association Of Investment Clubs)
- Naked Option
- Naked Position
- Narrow Market
- Narrowing The Spread
- NASAA (North American Securities Administrators Association, Inc.)
- NASD (National Association Of Securities Dealers)
- NASD Information Request Form (NIRF)
- NASDAQ (National Association Of Securities Dealers Automatic Quotations)
- National Association Of Investment Clubs (NAIC)
- National Association Of Securities Dealers (NASD)
- National Market System (NMS)
- National Quotation Bureau Inc. (NQB)
- NAV (Net Asset Value)
- ND (Nothing Done)
- Nearest Month
- Negative Cash Flow
- Negative Yield Curve
- Negotiable
- Nest Egg
- Net
- Net Asset Value (NAV)
- Net Assets
- Net Capital Rule
- Net Change
- Net Investment Income Per Share
- Net Realized Capital Gains Per Share
- Net Worth
- New Issue
- New York Futures Exchange (NYFE)
- New York Stock Exchange (NYSE)
- NH (Not Held)
- Nikkei Stock Average
- NIRF (NASD Information Request Form)
- NL (No Load)
- NMS (National Market System)
- No Load Mutual Fund
- Noise
- Nominal Quotation
- Nominee
- Non-Callable
- Non-Cumulative Preferred Stock
- Non-grantor Trust
- Non-Public Information
- Non-Qualified Plan
- Non-Recurring Charge
- Nonvoting Stock
- Normal Trading Unit (NTU)
- North American Securities Administrators Association, Inc. (NASAA)
- Not Held (NH)
- Not Rated (NR)
- Nothing Done (ND)
- Notice Of Sale
- Novation
- NQB (National Quotation Bureau)
- NR (Not Rated)
- NRA
- NTU (Normal Trading Unit)
- NYFE (New York Futures Exchange)
- NYSE (New York Stock Exchange)
- Obligation Bond
- Obligator
- OBV (On Balance Volume)
- OCC (Option Clearing Corporation)
- Odd Lot
- Odd Lot Differential
- Odd Lot Theory
- OEX
- Off Floor Order
- Off-Board
- Offer
- Offering Circular
- Offering Date
- Offering Price
- Office Of Supervisory Jurisdiction (OSJ)
- Official Notice Of Sale
- Official Statement
- Offshore (OS)
- Offshore Scams
- OID (Original Issue Discount)
- Omitted Dividend
- On Balance Volume
- On Floor Order
- On The Close Order
- On The Opening Order
- OPD
- Open
- Open End Indenture
- Open End Management Company
- Open Interest
- Open Order
- Open Repo
- Opening
- Opening Transaction
- Operating Income
- Operating Profit Margin
- Operating Profit Or Loss
- OPM (Other People's Money)
- Option Agreement
- Option Fund
- Option Holder
- Option Premium
- Optional Dividend
- Optional Payment Bond
- Options
- Or Better Order (OB)
- Order Ticket
- Orders
- Original Issue Discount (OID)
- OSJ (Office Of Supervisory Jurisdiction)
- OTC (Over The Counter)
- OTC Bulletin Board
- OTC Margin Stock
- Other People's Money (OPM)
- Out Of Favor Stock Or Industry
- Out Of Line
- Out Of The Money
- Out The Window
- Outstanding Stock
- Over The Counter (OTC)
- Over The Counter Securities
- Overbought
- Overheating
- Overissue
- Overlapping Debt
- Overnight Position
- Oversold
- Oversubscribed
- Overtrading
- Overvalued
- Overwriting
- Ownership
- P&L (Profit And Loss Statement)
- P/E Ratio
- Paper Profit (Loss)
- Par
- Partial Delivery
- Payment Date
- Payment-In-Kind Securities (PIK)
- Payout Ratio
- Penny Stock
- Pension Fund
- Performance Fund
- Perpetual Warrant
- PFD (Preferred Stock)
- PHLX
- PIK Securities (Payment-In-Kind)
- Pink Sheets
- PLC
- Pledge
- Plus
- Plus Tick
- PMV (Private Market Value)
- POA (Power Of Attorney)
- Point
- PORTAL
- Portfolio
- Position Building
- Positive Yield Curve
- Post
- Power Of Attorney (POA)
- Pre-filing Notice
- Preemptive Right
- Preferential Transfer
- Preferred Stock
- Preliminary Prospectus
- Premium Bond
- Premium Income
- Premium Raid
- Pretax Earnings Or Profit
- Price Change
- Price Range
- Price/Earnings Ratio (P/E)
- Prime Paper
- Prime Rate
- Principal
- Principal Amount
- Principal Stockholder
- Private Market Value (PMV)
- Private Purpose Bond
- Probate
- Proceeds
- Producer Price Index
- Profit
- Profit And Loss Statement (P & L)
- Profit Sharing Retirement Plan
- Profit Taking
- Program Trading
- Proprietorship
- Prospectus
- Proxy
- Proxy Fight
- Proxy Statement
- Prudent Man Rule
- PSE (Pacific Stock Exchange)
- Public Information Office
- Public Offering
- Public Offering Price
- Publicly Held
- Pump And Dump
- Pure Equity Trust
- Pure Trust
- Put Bond
- Put Option
- Put To The Seller
- Q-TIP Trust (Qualified Terminable Interest Property Trust)
- Qualified Legal Opinion
- Qualified Pension Plan Or Trust
- Qualified Terminable Interest Property Trust (Q-TIP Trust)
- Qualifying Share
- Qualitative Analysis
- Quantitative Analysis
- Quarter Stock
- Quarterly Report
- Quick Asset
- Quick Asset Ratio
- Quid Pro Quo
- Quiet Period
- Quotation Board
- Quoted Price
- Raider
- Rally
- Random Walk
- Range
- Rate Of Return
- Rating
- Real Rate Of Return
- Realized Profit (or Loss)
- Recession
- Reclamation
- Record Date
- Red Herring Prospectus
- Redemption
- Redemption Price
- Reg D (Regulation D)
- Reg T (Regulation T)
- Regional Stock Exchanges
- Register
- Registered Company
- Registered Options Principal (ROP)
- Registered Representative (RR)
- Registered Security
- Registrar
- Regular Way Delivery (Settlement)
- Regulation D (Reg D)
- Regulation T (Reg T)
- Reinvestment Privilege
- REIT
- Relative Strength
- Reorganization
- Required Rate Of Return
- Research Department
- Resistance Level
- Restricted Stock
- Retail House
- Retail Investor
- Retained Earnings
- Retirement
- Return
- Return On Equity (ROE)
- Revenue Reconciliation Act Of 1995
- Reversal
- Reverse Split
- Revocable Trust
- Right
- Rising Bottoms
- Risk
- Risk Averse
- Risk/Reward Ratio
- Road Show
- ROE (Return On Equity)
- Roll Down
- Roll Forward
- Roll Up
- ROP (Registered Options Principal)
- Round Lot
- RR (Registered Representative)
- Rule 10b-21
- Rule 10b-6
- Rule 10b-6a
- Rule 13d
- Rule 144
- Rule 15c3-1
- Rule 15c3-3
- Rule 17a-3
- Rule 17a-4
- Rule 19b-4
- Rules Of Fair Practice
- Rumortrage
- Running Ahead
- Runoff
- S&P (Standard & Poor's Corporation)
- SA (Societe Anonyme)
- Safe Harbor
- Sales Charge
- Same Day Substitution
- Same Side Of The Market
- Saucer
- Script Certificate
- Seasonal Stock
- Seat
- SEC (Securities And Exchange Commission)
- SEC Fee
- Secondary Distribution
- Secondary Market
- Sector Fund
- Securities And Exchange Commission (SEC)
- Securities Exchange Act Of 1933
- Securities Exchange Act Of 1934
- Securities Industry Association (SIA)
- Securities Investor Protection Corporation (SIPC)
- Security
- Seek A Market
- Self Directed IRA
- Self Regulatory Organization (SRO)
- Sell Out Procedures
- Sell Stop Order
- Seller's Option Contract
- Sellers Market
- Selling Climax
- Selling Dividends
- Selling Off
- Selling On The Good News
- Selling Short
- Selling Short Against The Box
- Senior Securities
- Sensitive Market
- SEP (Simplified Employee Pension)
- Series 7 Exam
- Series Of Options
- Settle
- Settlement
- Settlement Date
- Settlor
- Share
- Shareholder
- Shareholder's Equity
- Short And Distort
- Short Covering
- Short Interest
- Short Interest Theory
- Short Market Value
- Short Position
- Short Squeeze
- Short Swing Profit
- Short Term
- Short Term Debt
- Short Term Gain (Loss)
- SIA (Securities Industry Association)
- Sideways Market
- Simplified Employee Pension Plan (SEP)
- Simultaneous Transaction
- SIPC (Securities Investor Protection Corporation)
- Situs Or Site
- Size
- SL (Sold)
- SMA (Special Miscellaneous Account)
- Small Investor
- Smurfing
- Societe Anonyme (SA)
- Soft Market
- Sparbuch
- Special Custodian
- Special Investment Advisor
- Special Miscellaneous Account (SMA)
- Special Purpose Funds
- Specialist
- Specific Performance
- Speculation
- Speculator
- Split
- Spot Market
- Spousal IRA
- Spread
- Spread Option
- Spread Position
- Squeeze
- SRO (Self Regulatory Organization)
- Standard & Poor's 500 Index
- Standard & Poor's Corporation (S & P)
- Statute Of Limitations
- Statutory
- Statutory Voting
- Stiftung
- Stock
- Stock Ahead
- Stock Buyback
- Stock Certificate
- Stock Dividend
- Stock Exchange
- Stock Power
- Stock Split
- Stock Symbols
- Stockholder
- Stockholder Of Record
- Stockholders' Equity
- Stop Limit Order
- Stop Order
- Stopped Stock
- Street
- Street Name
- Strike Price
- Structuring
- Subject
- Subscription Right
- Subscription Warrant
- Suitability
- Support Level
- Suspended Trading
- Sweetener
- Switching
- Systematic Risk
- T-Bill (Treasury Bill)
- T-Bond (Treasury Bond)
- T-Note (Treasury Note)
- Take A Bath
- Take A Flier
- Take A Position
- Takeover
- Taking Delivery
- Tape
- Target Company
- Tax Deferred
- Tax Exempt Money Market Fund
- Tax Exempt Security
- Tax Haven
- Tax Regimen
- Tax Selling
- TCI
- TD (Time Deposit)
- Tear Sheet
- Technical Analysis
- Technical Analyst
- Technical Rally
- Technical Sign
- Tender
- Tender Offer
- Testamentary Trust
- There Are Two Basic Methods By Which Underwriters Are Chosen By Issuers And Underwriting Spreads Are Determined
- Thin Market
- Third Market
- Thirty Day Wash Rule
- Tick
- Ticker Symbol
- Ticker Tape
- Tight Market
- Tight Money
- Time Deposit (TD)
- Time Value
- Topping Out
- Total Return
- Trade
- Trade Date
- Trader
- Trading Authorization
- Trading Floor
- Trading Halt
- Trading Range
- Trading Unit
- Tranche
- Transaction
- Transfer
- Transfer Agent
- Transfer And Hold
- Transfer And Ship
- Transmogrifying
- Treasuries
- Treasury Bill (T-Bill)
- Treasury Bond (T-Bond)
- Treasury Note (T-Note)
- Treasury Stock
- Trend
- Trendline
- Trin
- Triple Tax Exempt
- Triple Witching Hour
- True Settlor
- Trust
- Trust Deed
- Trust Indenture
- Trust Protector
- Trustee
- Two Dollar Broker
- UGMA (Uniform Gift To Minors Act)
- UIT (Unit Investment Trust)
- Ultra Vires Activities
- Unamortized Bond Discount
- Unauthorized Transactions
- Uncollected Funds
- Uncovered Call Option
- Uncovered Option
- Uncovered Put Option
- Underbanked
- Underbooked
- Undercapitalization
- Underlying Debt
- Underlying Security
- Undermargined Account
- Undervalued
- Underwrite
- Underwriter
- Underwriting Agreement
- Underwriting Group
- Underwriting Spread
- Undigested Securities
- Undivided Account
- Unencumbered
- Unfunded Pension Liabilities
- Uniform Gift To Minors Act (UGMA)
- Uniform Partnership Act (UPA)
- Uniform Practice Code (UPC)
- Uniform Securities Agent State Law Examination
- Unissued Stock
- Unit
- Unit Investment Trust (UIT)
- Unit Of Trading
- Unit Share Investment Trust (USIT)
- Universal Life Insurance
- Unleveraged Program
- Unlimited Tax Bond
- Unlisted Stock
- Unlisted Trading
- Unloading
- Unpaid Dividend
- Unrealized Profit (Or Loss)
- Unsecured Debt
- Up-Trend
- UPC (Uniform Practice Code)
- Upset Price
- Upside Potential
- Upstairs Market
- Uptick
- Uptick Rule
- US Government Securities
- USIT (Unit Share Investment Trust)
- Utility Revenue Bond
- UW (Underwriter)
- V Formation
- Value Line Equity Rating Criteria
- Value Line Investment Survey (VL)
- Variable Annuity
- Variable Life Insurance
- Variable Rate Demand Note
- VD (Volume Deleted)
- Velocity Of Money
- Venture Capital
- Venture Capital Limited Partnership
- Versus Purchase (VSP)
- Vertical Line Charts
- Vertical Spread
- Vesting
- Vetting
- Visible Supply
- VL (Value Line Investment Survey)
- VOL (Volume)
- Volatile
- Volatility
- Volume
- Volume Deleted (VD)
- Voting Right
- Voting Stock
- Voting Trust
- Voting Trust Certificate (VTC)
- VSP (Versus Purchase)
- VTC (Voting Trust Certificate)
- Vulture Funds
- W Formation
- W/Tax (Withholding Tax)
- Waiting Period
- Wall Street
- Wallflower
- Warrant
- Wash Sale
- Wasting Asset
- Watch List
- Watered Stock
- WD
- Weak Market
- Wedge
- Western Account
- When Distributed (WD)
- When Issued (WI)
- Whipsawed
- White Knight
- White's Rating
- Whole Life Insurance
- Wholesaler
- WI (When Issued)
- Wide Opening
- Widow-And-Orphan Stock
- Wire House
- With Warrants (WW)
- Withdrawal Plan
- Withheld Orders
- Withholding
- Withholding Tax (W/Tax)
- Working Capital
- Working Control
- Workout Market
- World Bank
- Write-Off
- Writer
- Writing Naked
- Writing Puts To Acquire Stock
- WT (Warrant)
- WW (With Warrants)
- X (Ex-Interest)
- XD (Ex-Dividend)
- XR (Ex-Rights)
- XW (Ex-Warrants)
- Yankee Bond
- Yellow Sheets
- Yield
- Yield Advantage
- Yield Curve
- Yield Equivalence
- Yield To Average Life
- Yield To Call (YTC)
- Yield To Maturity (YTM)
- YLD (Yield)
- Yo-Yo Stock
- YTC (Yield To Call)
- YTM (Yield To Maturity)
- Zero Coupon Security
- Zero Minus Tick
- Zero Plus Tick
- Zero-Coupon Convertible Security
- “BD” Or Form BD
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