Deficiency letter
An SEC letter indicating that a preliminary Prospectus for an Offering needs to be modified.
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Allowance for depreciation,
Accrual of discount,
Amortization of premium,
At par,
All or any part,
At best,
At call,
At risk,
Abstract of title,
Action to quiet title,
Assignment to creditors,
Attorney in fact,
Assignment of mortgage,
A shares,
At the money,
Additional paid-in capital,
At the bell,
At the close,
At the figure,
At the full,
At the market,
At the opening order,
Books of final entry,
Books of original entry,
Banking Act of 1933,
Bid-to-cover ratio,
Bureau of Public Debt,
Best efforts offering,
Balance of payments,
Board of Governors,
Bill of exchange,
Bill of sale,
Breach of trust,
Blitzkrieg tender offer,
B shares,
Blow-off top,
Breadth-of-market theory,
Cost Of Goods Sold,
Cost of sales,
CAT bond,
Certificate of Participation,
Code of procedure,
Capitalization of income,
Cost of Living Adjustment,
Cost-of-living index,
Council of Economic Advisers,
Cheapest to deliver,
Chicago Board of Trade,
Cost-of-living rider,
Certificate of stock,
Cost of carry,
Certificate of title,
Contract for deed,
Cancellation of debt,
Certificate of Claim,
Commitment letter,
Cost of debt capital,
Cost of funds,
Creeping tender offer,
C shares,
Class of options,
Close to the money,
Certificate of Occupancy,
Cash or Deferred Arrangement,
Class A Shares,
Class B Shares,
Crash of 1929,
Crash of 1987,
Coefficient of determination,
Certificate of delivery,
Close a position,
Curbs in,
Deposit in transit,
Date of issue,
Date of payment,
Division of Enforcement,
Division of Investment Management,
Division of Market Regulation,
Date of record,
Dividend in arrears,
Division of labor,
Deficiency letter,
Direct Public Offering,
Durable Power of Attorney,
Date of maturity,
Debtor in possession,
Debtor-in-possession financing,
Deed of Release,
Deed of Trust,
Discharge of bankruptcy,
Discharge of lien,
Deep in the money,
Deep out of the money,
Deed of Surrender,
Department of Housing and Urban Development,
Determination Letter,
Dogs of the Dow,
Dead cat bounce,
Depth of market,
Eurodollar certificate of deposit,
Escrowed to maturity,
Either-or order,
E-mini,
Exchange for futures,
Exchange for physical,
Exchange of spot,
Employee Retirement Income Security Act of 1974,
First In First Out,
Flight to quality,
Flow of funds,
Fill or kill,
Front-ending an order,
Forward P/E,
Factors of production,
Favorable balance of trade,
Fee-for-service,
Form S-1,
Final prospectus,
Firm commitment offering,
Friends and family offering,
Family of funds,
Fund of funds,
Free right of exchange,
G-7,
G-8,
Gather in the stops,
Hart-Scott-Rodino Act of 1976,
Highly confident letter,
House of issue,
Holder in due course,
Home equity line of credit,
Held at the opening,
In escrow,
Investment letter,
In-house,
Investment Advisor Act of 1940,
Investment Company Act of 1940,
In line,
Initial Public Offering,
Insider Trading sanctions Act of 1984,
Internal Rate of Return,
Indication of interest,
Intrastate offering,
In intestacy,
In play,
In-process research and development,
I/O strip,
In-service withdrawal,
Imbalance of orders,
In and out,
In sympathy,
In the tank,
Last In First Out,
Lender of last resort,
Law of one price,
Letter security,
Lending at a rate,
Law of demand,
Law of supply,
London Inter-Bank Offer Rate,
Letter of comment,
Line of credit,
Loan-to-cost,
Loan-to-value,
Lock-in,
Locked in,
Long-term gain or loss,
Level I quotes,
Modified ACRS,
Modified cash basis,
Modified duration,
Make a market,
Market if touched order,
Market letter,
Mark-to-market,
Medium of exchange,
Marginal propensity to consume,
Modified pass-through,
Money at call,
Negotiable certificate of deposit,
Negotiable Order of Withdrawal,
Notice of Sale,
National Association of Securities Dealers,
National Association of Securities Dealers Automated Quotations system,
No-Action Letter,
Notice of Default,
National Association of Real Estate Investment Trusts,
Off-balance-sheet financing,
Off the books,
Office of Thrift Supervision,
Offer,
Offering,
Offering circular,
Offering price,
Offering scale,
Out-of-favor,
Off-floor order,
Or better,
Offering date,
Opinion of title,
Out of the money,
Off-board,
Pooling of interests,
Pre-depreciation profit,
Pre-tax profit margin,
Pro forma,
Payment-in-kind security,
Preliminary official statement,
Price Value of a Basis Point,
Prospectus,
Public offering,
Payment for order flow,
P&L,
Provision for income taxes,
Pre-existing conditions,
Preliminary prospectus,
Public offering price,
Power of Attorney,
Prioritization of debt,
Paid-in capital,
Paid-in surplus,
Pre-syndicate bid,
Private Investment in Public Equity,
Preservation of capital,
Private letter ruling,
Return of capital,
Regulation D,
Regulation G,
Regulation T,
Regulation U,
Rights offering,
Round of funding,
Rules of Fair Practice,
Rate of exchange,
Reciprocal of European terms,
Regulation A,
Release letter,
Right of first refusal,
Right of rescission,
Right to Know,
Revolving line of credit,
Right of recourse,
Rule of 78,
Right of redemption,
Retirement Equity Act of 1984,
Risk/return trade-off,
Rate of return,
Real rate of return,
Ring,
SEC filing,
SG&A,
Sight letter of credit,
S&L,
SEC,
Secondary offering,
Series EE bond,
Shelf offering,
Split offering,
SEC fee,
Segregation of securities,
Standard of living,
Second-to-die insurance,
Small corporate offering registration,
Statute of Limitations,
Satisfaction of debt,
Staggered board of directors,
Savings Incentive Match Plan for Employees,
S Corporation,
Short-term gain or loss,
Subchapter M,
Subchapter S Corporation,
Schedule C,
Securities Act of 1933,
Securities Acts Amendments of 1975,
Securities Exchange Act of 1934,
Seek a market,
S&P phenomenon,
T-Bill,
Term to maturity,
Take a position,
Transmittal letter,
Trailing P/E,
Tender offer,
Truth in Lending,
Tenancy at will,
Top hat plan,
Taxpayer Relief Act of 1997,
Tax Reform Act of 1986,
Tax Reform Act of 1993,
Take a bath,
U.S. Government Agency Security,
U.S. Savings Bond,
U.S. Treasury,
U.S. Treasury Bill,
U.S. Treasury Bond,
U.S. Treasury Note,
U.S. Treasury Securities,
Unit of trade,
Unit of trading,
Waiver of premium,
When, as, and if issued,
X or XD,
Year-To-Date,
Yield to call,
Yield to maturity,
Yield to worst,
Y shares