Division of Enforcement

Allowance for depreciation, Above par, At par, All or any part, At best, At call, At risk, Add-on service, As is, Attorney in fact, A shares, At the money, Across the board, Additional paid-in capital, Against the box, At the bell, At the close, At the figure, At the full, At the market, At the opening order, Automated Pricing and Reporting System, Away from the market, Below the line, Bank Trust Department, Below par, Brought over the wall, Buying on margin, Buy on close, Buy on opening, Buy the book, Breaking the syndicate, By the book, B shares, Buy and write, Beat the gun, Committee on Uniform Securities Identification Procedures, Compliance department, Cash and carry trade, Chasing the market, Contract for deed, C shares, Close to the money, Cloud on title, Cash or Deferred Arrangement, Class A Shares, Class B Shares, Child and dependent care credit, Cup and handle, Close a position, Cornering the market, Curbs in, Deposit in transit, Drawn securities, Dividend in arrears, Desk (the), De-escalation clause, De facto, Debtor in possession, Debtor-in-possession financing, Due-on-sale clause, Deep in the money, Deep out of the money, Department of Housing and Urban Development, Dogs of the Dow, Either-or order, ECU, Effective par, E-mini, Exchange for futures, Exchange for physical, First In First Out, Federal Savings and Loan Association, Fill or kill, Front-ending an order, Forward P/E, Fee-for-service, Form S-1, Friends and family offering, Full faith and credit, Free and clear, Government securities, Government Securities Clearing Corporation, General Securities Representative Examination, G-7, General Agreement on Tariffs and Trade, G-8, Growth and income fund, Gather in the stops, Hit the bid, Health Insurance Portability and Accountability Act, Holder in due course, Head and shoulders, Hammering the market, Held at the opening, Holding the market, In escrow, International Securities Identification Number, In-house, In line, In intestacy, In play, In-process research and development, I/O strip, In-service withdrawal, In and out, In sympathy, In the tank, Jointly and severally, Jumping the gun, Joint and several liability, Joint and survivor annuity, Last In First Out, Lending at a rate, Limit-on-close order, Labor force, London International Financial Futures and Options Exchange, Long-Term Equity Anticipation Securities, Lock-in, Leg, Long leg, Leading the market, Locked in, Long-term gain or loss, Level I quotes, Make a market, Market on close order, Money at call, Marketable securities, National Association of Securities Dealers, National Association of Securities Dealers Automated Quotations system, National Securities Clearing Corporation, National Securities Trade Association, Null and void, Off the books, Over-the-Counter, On-floor order, On margin, Or better, On account, On-the-spot loan, Out of the money, Old age, survivors, and disability insurance, On-balance volume, On close, On open, On the opening, Profit and loss statement, Par bond, Payment-in-kind security, Price Value of a Basis Point, Payment for order flow, Public Securities Association, P&L, Provision for income taxes, Paid-in capital, Paid-in surplus, Private Investment in Public Equity, Point-and-figure chart, Painting the tape, Reports and Records, Return on Capital, Return on Invested Capital, Return on Total Assets, Reading the tape, Regulation D, Regulation G, Regulation T, Regulation U, Research department, Regulation A, Return on Capital Employed, SEC filing, Selling, General and Administrative Expenses, SG&A, Savings and Loan, S&L, SEC, Securities and Exchange Commission, SEC fee, Securities analyst, Securities Industry Association, Securities Investor Protection Corporation, Securities loan, Segregation of securities, Sell the book, Sale and leaseback, Securities lending, Selling the spread, Short leg, Savings Incentive Match Plan for Employees, Selling short against the box, Shorting against the box, 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, Securities fraud, Seek a market, S&P phenomenon, Stop and reverse, Surveillance department, T-Bill, Take a position, Trailing P/E, Tenancy by the entirety, Truth in Lending, Tenancy at will, The Street, Timing the market, Take a bath, Thin market, 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, Uniform Securities Act, With interest, Work force, Widow-and-orphan stock, W-2 Form, W formation, When, as, and if issued, X or XD