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NASD

National Association of Securities 

Dealer

. A self­regulatory securities 

Industry

 organization responsible for the operation and regulation of the 

Nasdaq

 stock 

Market

 and over­the-counter markets. The 

NASD

 investigates complaints against member firms and tries to ensure that all of 

ITS

 members adhere to both 

ITS

 own standards and those laid out by the 

SEC

. The 

NASD

 has the power to expel 

ITS

 members from an 

Exchange

 in the case of wrongdoing, but it cannot take legal 

Action

 against a member other than by reporting it to the 

SEC

. The association is run by a Board that takes half of 

ITS

 representatives from the securities 

Industry

 and half from the 

Public

.



Related Terms: 21

Action

,

Dealer

,

Deal

,

Exchange

,

ECU

,

Industry

,

ITS

,

Legal

,

Leg

,

Member firm

,

Market

,

NASD

,

Nasdaq

,

Owe

,

Own

,

Public

,

Ratio

,

Representative

,

Repo

,

SEC

,

Stock market


Other Related Pages:

Category: Brokerages


Starting With: N


Semi Related Terms: 750  CLICK HERE TO VIEW

10-Q

,

10-K

,

1035 exchange

,

19c3 stock

,

Allowance for depreciation

,

Asset/equity ratio

,

Accrual of discount

,

Accrued market discount

,

American Stock Exchange

,

Amortization of premium

,

At par

,

Allied member

,

All or any part

,

Associate member

,

At best

,

At call

,

Adjustable rate preferred stock

,

All-risks coverage

,

At risk

,

Add-on service

,

Abstract of title

,

Action to quiet title

,

As is

,

Assignment to creditors

,

Attorney in fact

,

Assignment of mortgage

,

A shares

,

Average price per share

,

At the money

,

Across the board

,

Action

,

Additional paid-in capital

,

Ad valorem

,

Active market

,

Against the box

,

At the bell

,

At the close

,

At the figure

,

At the full

,

At the market

,

At the opening order

,

Auction market

,

Automated Pricing and Reporting System

,

Away from the market

,

Below the line

,

Books of final entry

,

Books of original entry

,

Book value per share

,

Banking Act of 1933

,

Bid-to-cover ratio

,

Bond market

,

Bureau of Public Debt

,

Brokerage firm

,

Brought over the wall

,

Buying on margin

,

Buy on close

,

Buy on opening

,

Buy the book

,

Basic earnings per share

,

Balance of payments

,

Bear market

,

Board of Governors

,

Buying power

,

Bulldog market

,

Breaking the syndicate

,

Bill of exchange

,

Bill of sale

,

Breach of trust

,

By the book

,

Bailing out

,

B shares

,

Buy and write

,

Big Board

,

Borrowed stock

,

Bulletin board

,

Breadth-of-market theory

,

Beat the gun

,

Bull market

,

Cash asset ratio

,

Cash ratio

,

Certified Public Accountant

,

Collection ratio

,

Cost Of Goods Sold

,

Cost of sales

,

Capital market

,

Certificate of Participation

,

Committee on Uniform Securities Identification Procedures

,

Common stock equivalent

,

Conversion ratio

,

Current market value

,

Clearing firm

,

Clearing member

,

Closed out

,

Code of procedure

,

Chicago Mercantile Exchange

,

Capitalization of income

,

Cost of Living Adjustment

,

Cost-of-living index

,

Council of Economic Advisers

,

Cyclical industry

,

Cyclical stock

,

Cash and carry trade

,

Cash market

,

Certificated stock

,

Chasing the market

,

Cheapest to deliver

,

Chicago Board of Trade

,

Commodities Exchange Act

,

Commodities Exchange Center

,

Commodity Exchange

,

Contract market

,

Cost-of-living rider

,

Callable stock

,

Capital gains distribution

,

Certificate of stock

,

Chicago Board Options Exchange

,

Consumer stock

,

Control stock

,

Corporate action

,

Cost of carry

,

Certificate of title

,

Class action suit

,

Contract for deed

,

Cancellation of debt

,

Cash-out refinancing

,

Certificate of Claim

,

Cost of debt capital

,

Cost of funds

,

Crowding out

,

C shares

,

Call ratio backspread

,

Class of options

,

Close to the money

,

Cash Against Documents

,

Certificate of Occupancy

,

Cloud on title

,

Cash or Deferred Arrangement

,

Choice market

,

Class A Shares

,

Class B Shares

,

Crash of 1929

,

Crash of 1987

,

Capital gains tax

,

Child and dependent care credit

,

Coefficient of determination

,

Cup and handle

,

Certificate of delivery

,

Close a position

,

Close market

,

Close out

,

Continuous market

,

Cornering the market

,

Curbs in

,

Curbs out

,

Dealer bank

,

Deposit in transit

,

Date of issue

,

Date of payment

,

Dealer market

,

Debt market

,

Drawn securities

,

Dealer

,

Division of Enforcement

,

Division of Investment Management

,

Division of Market Regulation

,

Do Not Reduce

,

Date of record

,

Dividend in arrears

,

Dividend payout ratio

,

Desk (the)

,

Division of labor

,

Deal stock

,

Defensive stock

,

Distribution stock

,

Donated stock

,

Direct Public Offering

,

De-escalation clause

,

De facto

,

Doing business as

,

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

,

Due-on-sale clause

,

Deep in the money

,

Deep out of the money

,

Deed of Surrender

,

Department of Housing and Urban Development

,

Dirty stock

,

Dogs of the Dow

,

Deep market

,

Depth of market

,

Double auction market

,

Deal

,

Deal flow

,

Earnings report

,

Efficiency ratio

,

Eurodollar certificate of deposit

,

Escrowed to maturity

,

Exchange

,

Ex-legal

,

External market

,

Either-or order

,

Exchange seat

,

ECU

,

Exchange rate

,

Edge Act

,

E-mini

,

Exchange against actuals

,

Exchange for futures

,

Exchange for physical

,

Exchange of spot

,

Exchange versus cash

,

Ex-pit transaction

,

Emerging market

,

Employee Stock Purchase Plan

,

Employee stock repurchase agreement

,

Ex-all

,

Exchange ratio

,

Exchange fund

,

Exchange privilege

,

Exchange-traded option

,

Exercise ratio

,

Ex-warrants

,

Employee Retirement Income Security Act of 1974

,

Exclusion ratio

,

Ex-rights

,

Ex-rights date

,

Exchange distribution

,

Financial Accounting Standards Board

,

First In First Out

,

Fixed-charge coverage ratio

,

Form 10-Q

,

Federal Savings and Loan Association

,

Federal National Mortgage Association

,

Flight to quality

,

Flow of funds

,

Fill or kill

,

Firm quotation

,

Front-ending an order

,

Floating exchange rate

,

Foreign exchange

,

Foreign exchange rate

,

Forward deal

,

Forward exchange rate

,

Forward P/E

,

Fully diluted earnings per share

,

Factors of production

,

Favorable balance of trade

,

Federal Reserve Board

,

Free market

,

Free market price

,

First board

,

Fee-for-service

,

Fair market value

,

First preferred stock

,

Form 8-K

,

Form S-1

,

Full stock

,

Firm commitment offering

,

Friends and family offering

,

Fair Credit Reporting Act

,

Fair Debt Collection Practices Act

,

Firm commitment lending

,

Full faith and credit

,

Family of funds

,

Fund of funds

,

Free and clear

,

Federal Insurance Contributions Act

,

Free right of exchange

,

Federal ID Number

,

Fourth market

,

Government National Mortgage Association

,

Government securities

,

Government Securities Clearing Corporation

,

General Securities Representative Examination

,

Glass-Steagall Act

,

Gold standard

,

Growth stock

,

G-7

,

General Agreement on Tariffs and Trade

,

Gross National Debt

,

Gross National Product

,

G-8

,

Going public

,

Growth and income fund

,

Gather in the stops

,

Growth industry

,

Graveyard market

,

Hart-Scott-Rodino Act of 1976

,

Hit the bid

,

House of issue

,

Hedge ratio

,

Hang Seng Index

,

Health Insurance Portability and Accountability Act

,

Health Maintenance Organization

,

High-tech stock

,

Holder in due course

,

Hang out loan

,

High-ratio mortgage

,

Home equity line of credit

,

Home Mortgage Disclosure Act

,

Housing Market Index

,

Head and shoulders

,

Hammering the market

,

Held at the opening

,

Holding the market

,

Home run

,

In escrow

,

International Securities Identification Number

,

In-house

,

Investment Advisor Act of 1940

,

Investment Bankers Association

,

Investment Company Act of 1940

,

Income stock

,

In line

,

Inefficient market

,

Inverted market

,

Internal market

,

Industry

,

Initial Public Offering

,

Inside market

,

Insider Trading sanctions Act of 1984

,

Internal Rate of Return

,

Indication of interest

,

In intestacy

,

In play

,

In-process research and development

,

I/O strip

,

Income replacement ratio

,

In-service withdrawal

,

Imbalance of orders

,

Imperfect market

,

In and out

,

In sympathy

,

In the tank

,

ITS

,

Jointly and severally

,

Jumping the gun

,

Joint and several liability

,

Joint and survivor annuity

,

Joint Stock Company

,

Knock-out option

,

Last In First Out

,

Liquidity ratio

,

Legal list

,

Lender of last resort

,

Law of one price

,

Little Board

,

Lending at a rate

,

Lessee member

,

Limit-on-close order

,

Long Market Value

,

Law of demand

,

Law of supply

,

London International Financial Futures and Options Exchange

,

Loan stock

,

Long-Term Equity Anticipation Securities

,

Letter of comment

,

Legal

,

Legal age

,

Legal entity

,

Legal risk

,

Legal assets

,

Line of credit

,

Loan-to-cost

,

Loan-to-value

,

Loan-value ratio

,

Lock-in

,

Leg

,

Long leg

,

Leading the market

,

Like-kind exchange

,

Locked in

,

Long-term gain or loss

,

Level I quotes

,

Liquid market

,

Locked market

,

Member bank

,

Mutual association

,

Market basket

,

Market capitalization

,

Market conversion price

,

Municipal Bond Insurance Association

,

Make a market

,

Market if touched order

,

Market letter

,

Market maker

,

Market maker spread

,

Market on close order

,

Market order

,

Mark-to-market

,

Member firm

,

Medium of exchange

,

Marginal propensity to consume

,

Market economy

,

Marginable stock

,

Market rate

,

Money at call

,

Marketable securities

,

Market cap

,

Market neutral

,

Market portfolio

,

Market timer

,

Market timing

,

Market analysis

,

Market

,

Market inefficiency

,

Market opening

,

Market return

,

Market-share weighted index

,

Market surveillance

,

Market-value weighted index

,

Market Volatility Index

,

Mixed market

,

National Bank

,

National Credit Union Administration

,

Negotiable certificate of deposit

,

Negotiable Order of Withdrawal

,

National Market System

,

New York Stock Exchange

,

Notice of Sale

,

NASD

,

Nasdaq

,

NASD Regulation

,

National Association of Securities Dealers

,

National Association of Securities Dealers Automated Quotations system

,

National Securities Clearing Corporation

,

National Securities Trade Association

,

Net capital ratio

,

No limit order

,

Nonmember firm

,

No quote

,

National Debt

,

National Deficit

,

National Futures Association

,

New York Futures Exchange

,

Normal market

,

No-Fault

,

Nonvoting stock

,

No-Action Letter

,

Notary Public

,

Null and void

,

No-lien affidavit

,

Notice of Default

,

No-load

,

Non-qualified stock option

,

Non-statutory stock option

,

National Association of Real Estate Investment Trusts

,

Nasdaq Small Cap Market

,

No-load stock

,

Narrow market

,

Nasdaq Composite Index

,

National Market Advisory Board

,

Negotiated market

,

Net change

,

No book

,

Off the books

,

Other current assets

,

Other long term liabilities

,

Overhead ratio

,

Office of Thrift Supervision

,

OTC Bulletin Board

,

Out-of-favor

,

Over-the-Counter

,

On-floor order

,

On margin

,

Or better

,

Other income

,

Open market operation

,

Optionable stock

,

Original issue stock

,

Opinion of title

,

On account

,

On-the-spot loan

,

Owe

,

Options Prices Reporting Authority

,

Out of the money

,

Own

,

Old age, survivors, and disability insurance

,

On-balance volume

,

Odd lot buy/sell ratio

,

Off-board

,

On close

,

On open

,

On the opening

,

Open market

,

Open repo

,

Operationally efficient market

,

Option exchange

,

Outside market

,

Overnight repo

,

Pooling of interests

,

Pre-depreciation profit

,

Pre-tax profit margin

,

Profit and loss statement

,

Paper dealer

,

Payment-in-kind security

,

Premium over bond value

,

Premium over conversion value

,

Price Value of a Basis Point

,

Public bond

,

Public offering

,

Public purpose bond

,

Payment for order flow

,

Primary Dealer

,

Public limited partnership

,

Public Securities Association

,

Payout ratio

,

Preferred stock

,

Prior preferred stock

,

P&L

,

Primary earnings per share

,

Provision for income taxes

,

Productivity report

,

Public goods

,

Public sector

,

Physical market

,

Pre-existing conditions

,

Preferred Provider Organization

,

Primary market

,

Public company

,

Public offering price

,

Per stirpes

,

Pour-over will

,

Power of Attorney

,

Prioritization of debt

,

Private Market Value

,

Privilege dealer

,

Prudent Expert Act

,

Paid-in capital

,

Paid-in surplus

,

Percent held by institutions

,

Pre-syndicate bid

,

Private Investment in Public Equity

,

Public

,

Public equity

,

Public ownership

,

Perfect capital market

,

Preservation of capital

,

Put ratio backspread

,

Point-and-figure chart

,

Profit ratio

,

Painting the tape

,

Priced out

,

Primary exchange

,

Public book

,

Put/call ratio

,

Quarterly report

,

Reports and Records

,

Return of capital

,

Return on Capital

,

Return on Invested Capital

,

Return on Total Assets

,

Run rate

,

Regulation Q

,

Reserve ratio

,

Reading the tape

,

Real-time trade reporting

,

Receive against payment

,

Registered Representative

,

Regulation D

,

Regulation G

,

Regulation T

,

Regulation U

,

Round of funding

,

Rules of Fair Practice

,

Rate of exchange

,

Reciprocal of European terms

,

Ratio

,

Restricted stock

,

Regulation A

,

Reverse Take-Over

,

Representative

,

Right of first refusal

,

Right of rescission

,

Right to Know

,

Regulation Z

,

Revolving line of credit

,

Right of recourse

,

Roll over

,

Rule of 78

,

Ratio calendar combination

,

Ratio calendar spread

,

Ratio spread

,

Ratio write

,

Right of redemption

,

Retirement Equity Act of 1984

,

Regulation FD

,

Ratio analysis

,

Return on Capital Employed

,

Rate of return

,

Real rate of return

,

Regional exchange

,

Repo

,

Reverse repo

,

SEC filing

,

Selling, General and Administrative Expenses

,

SG&A

,

Savings and Loan

,

Savings Association Insurance Fund

,

Sight letter of credit

,

S&L

,

Stock association

,

SEC

,

Secondary market

,

Securities and Exchange Commission

,

Self-supporting bond

,

Stock buyback

,

Student Loan Marketing Association

,

SEC fee

,

Securities analyst

,

Securities Industry Association

,

Securities Investor Protection Corporation

,

Securities loan

,

Segregation of securities

,

Sell the book

,

Stock loan

,

Syndicate member

,

Second preferred stock

,

Stock dividend

,

Smokestack industry

,

Standard of living

,

Single stock futures

,

Spot market

,

Second-to-die insurance

,

Self insurance

,

Stock life insurance company

,

Secondary stock

,

Short interest ratio

,

Standard Industrial Classification

,

Stock bonus plan

,

Stock certificate

,

Stock Clearing Corporation

,

Stock consolidation

,

Stock exchange

,

Stock index

,

Stock market

,

Stock option

,

Stock option plan

,

Stock power

,

Stock screening

,

Stock swap

,

Stock symbol

,

Stock ticker

,

Summary annual report

,

Severally but not jointly

,

Statute of Limitations

,

Sale and leaseback

,

Satisfaction of debt

,

Secondary mortgage market

,

Securities lending

,

Self-amortizing mortgage

,

Standard payment calculation

,

Staggered board of directors

,

Socially responsible fund

,

Standard deviation

,

Stock fund

,

Selling the spread

,

Short leg

,

Short market value

,

Synthetic stock

,

Savings Incentive Match Plan for Employees

,

Self-directed retirement account

,

Self-employed pension

,

Stock list

,

Story stock

,

Selling short against the box

,

Shorting against the box

,

S Corporation

,

Self-employed

,

Self-employment tax

,

Short-term gain or loss

,

Standard deduction

,

Standard mileage rate

,

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

,

Specialist market

,

S&P phenomenon

,

Stop and reverse

,

Stopped out

,

T-Bill

,

Term to maturity

,

Take a position

,

Two-sided market

,

Two-way market

,

Trailing P/E

,

Take delivery

,

Treasury Stock

,

Tenancy by the entirety

,

Truth in Lending

,

Tenancy at will

,

Top hat plan

,

The Street

,

Timing the market

,

Taxpayer Relief Act of 1997

,

Tax Reform Act of 1986

,

Tax Reform Act of 1993

,

Top out

,

Take a bath

,

Take profits

,

Term repo

,

Thin market

,

Third market

,

Tight market

,

Transparent 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

,

Unit of trade

,

Unit of trading

,

Value stock

,

Vetoing stock

,

Voting stock

,

Variable ratio write

,

Variable ratio plan

,

Williams Act

,

World Trade Organization

,

Waiver of premium

,

Watered stock

,

Widow-and-orphan stock

,

W-2 Form

,

W formation

,

Weak market

,

When, as, and if issued

,

Wide market

,

X or XD

,

Year-over-year

,

Year-To-Date

,

Yankee bond market

,

Yield to call

,

Yield to maturity

,

Yield to worst

,

Y shares

,

Z shares


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