Investment Advisor Act of 1940

10-Q, At par, All or any part, At best, At call, At risk, Add-on service, Action to quiet title, As is, Assignment to creditors, Attorney in fact, Advisor, A shares, Automatic investment plan, At the money, Across the board, Additional paid-in capital, Ad valorem, 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, Bid-to-cover ratio, Brokerage firm, 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, Balanced investment strategy, Beat the gun, Capital investment, Checkbook register, Committee on Uniform Securities Identification Procedures, Clearing firm, Cash and carry trade, Chasing the market, Cheapest to deliver, Commodity Trading Advisor, Common-law voting, Closed-end investment company, 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, Division of Investment Management, Division of Market Regulation, Dividend in arrears, Desk (the), 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, Defensive investment strategy, Dogs of the Dow, Escrowed to maturity, Either-or order, E-mini, First In First Out, Form 10-Q, Federal Savings and Loan Association, Flight to quality, Fill or kill, Firm quotation, Front-ending an order, Forward P/E, Foreign direct investment, Form S-1, Firm commitment offering, Friends and family offering, Firm commitment lending, Full faith and credit, Financial advisor, Free and clear, Fixed investment trust, Federal ID Number, Guaranteed Investment Contract, 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, Investment flows, In escrow, Investment bill, Investment-grade bond, Investment letter, Investment security, Investment value, In-house, Investment Advisor Act of 1940, Investment bank, Investment banker, Investment Bankers Association, Investment banking, Investment banking group, Investment Company Act of 1940, In line, Investment multiplier, In intestacy, In play, In-process research and development, Investment company, Investment fund, Investment objective, Investment policy, Investment trust, I/O strip, Investment property, In-service withdrawal, Investment philosophy, 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, Law day, Law of one price, Lending at a rate, Limit-on-close order, Law of demand, Law of supply, London International Financial Futures and Options Exchange, Loan-to-cost, Loan-to-value, Lock-in, Leading the market, Locked in, Long-term gain or loss, Level I quotes, Municipal investment trust, Make a market, Market on close order, Mark-to-market, Member firm, Marginal propensity to consume, Money at call, Net investment, NASD Regulation, Nonmember firm, Null and void, National Association of Real Estate Investment Trusts, Non-investment property, 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, Pro forma, Payment-in-kind security, Price Value of a Basis Point, P&L, Paid-in capital, Paid-in surplus, Private Investment in Public Equity, Point-and-figure chart, Painting the tape, Register, Reports and Records, Return on Capital, Return on Invested Capital, Return on Total Assets, Regulation Q, Real Estate Mortgage Investment Conduit, Reading the tape, Regulation D, Regulation G, Regulation T, Regulation U, Regulated investment company, Regulation A, Right to Know, Regulation Z, Regulation FD, Return on Capital Employed, Ring, SEC filing, Selling, General and Administrative Expenses, SG&A, Savings and Loan, S&L, SEC, Securities and Exchange Commission, SEC fee, Sell the book, Second-to-die insurance, Statutory investment, Sale and leaseback, Systematic investment plan, Selling the spread, Selling short against the box, Shorting against the box, S Corporation, Short-term gain or loss, Subchapter M, Subchapter S Corporation, Schedule C, Seek a market, S&P phenomenon, Stop and reverse, T-Bill, Term to maturity, Take a position, Trailing P/E, Tenancy by the entirety, Truth in Lending, Tenancy at will, The Street, Timing the market, 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 Investment Trust, With interest, Widow-and-orphan stock, W-2 Form, W formation, When, as, and if issued, X or XD, Year-To-Date, Yield to call, Yield to maturity, Yield to worst, Zero-investment portfolio