Division of Market Regulation

10-K, Above par, At par, All or any part, At best, At call, At risk, Attorney in fact, A shares, At the money, Age-weighted plan, 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, Broker, Brokerage, Brokerage firm, Brokerage house, Broker loan, Brought over the wall, Buy the book, Breaking the syndicate, By the book, Broker loan rate, B shares, Buy and write, Beat the gun, Clearing firm, Compliance department, Contra broker, Contract broker, Cash and carry trade, Chasing the market, C shares, Close to the money, 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, Deep discount broker, Discount broker, Dividend in arrears, Desk (the), De-escalation clause, De facto, Debtor in possession, Debtor-in-possession financing, Deep in the money, Deep out of the money, Department of Housing and Urban Development, Dogs of the Dow, Effective par, E-mini, First In First Out, Federal Savings and Loan Association, Firm quotation, Floor broker, Front-ending an order, Full-service brokerage, Forward P/E, Form 8-K, Form S-1, Firm commitment offering, Friends and family offering, Firm commitment lending, Full faith and credit, Free and clear, 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, Independent broker, In-house, Institutional brokerage, Introducing broker, In line, Insurance broker, 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, London International Financial Futures and Options Exchange, Legal age, Lock-in, Leading the market, Locked in, Level I quotes, Make a market, Member firm, Money at call, Mortgage broker, Nonmember firm, Null and void, Normal retirement age, Off the books, Over-the-Counter, Online broker, Outside broker, On-the-spot loan, Out of the money, Old age, survivors, and disability insurance, On the opening, Profit and loss statement, Par bond, Payment-in-kind security, Price Value of a Basis Point, Prime broker, Prime brokerage, P&L, Paid-in capital, Paid-in surplus, Private Investment in Public Equity, Point-and-figure chart, Painting the tape, Reports and Records, Reading the tape, Regulation D, Regulation G, Regulation T, Regulation U, Research department, Retail brokerage, Regulation A, Real estate broker, SEC filing, Selling, General and Administrative Expenses, SG&A, Savings and Loan, S&L, SEC, Securities and Exchange Commission, SEC fee, Sell the book, Street broker, Sale and leaseback, Selling the spread, Selling short against the box, Shorting against the box, S Corporation, Subchapter M, Subchapter S Corporation, Schedule C, 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, With interest, Widow-and-orphan stock, W-2 Form, W formation, When, as, and if issued