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Registered Representative

An individual who is licensed to 

Sell

 securities and has the 

Legal

 power of an 

Agent

, having passed the 

Series 7

 and 

Series 63

 examinations. Usually works for a 

Brokerage

 licensed by the 

SEC

NYSE

, and 

NASD

. also called 

Account

 executive.



Related Terms: 18

Account

,

Account executive

,

Agent

,

Broker

,

Brokerage

,

Call

,

ECU

,

Legal

,

Leg

,

NYSE

,

NASD

,

Owe

,

SEC

,

Sell

,

Series 6

,

Series 63

,

Series 7

,

Series


Other Related Pages:

Category: Brokerages


Starting With: R


Semi Related Terms: 508  CLICK HERE TO VIEW

10-K

,

Account

,

Account statement

,

Allowance for depreciation

,

Account aggregation

,

Account balance

,

Active account

,

Agent bank

,

Alternate account

,

Asset management account

,

Accrual of discount

,

Amortization of premium

,

At par

,

Account executive

,

Agent

,

All or any part

,

At best

,

At call

,

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

,

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

,

Books of final entry

,

Books of original entry

,

Banking Act of 1933

,

Bid-to-cover ratio

,

Bill pass

,

Bureau of Public Debt

,

Broker

,

Brokerage

,

Brokerage firm

,

Brokerage house

,

Broker loan

,

Brought over the wall

,

Buying on margin

,

Buy on close

,

Buy on opening

,

Buy the book

,

Balance of payments

,

Board of Governors

,

Buying power

,

Breaking the syndicate

,

Bill of exchange

,

Bill of sale

,

Breach of trust

,

By the book

,

Broker loan rate

,

B shares

,

Buy and write

,

Breadth-of-market theory

,

Beat the gun

,

Contra account

,

Cost Of Goods Sold

,

Cost of sales

,

Central assets account

,

Checking account

,

Custodial account

,

Call

,

Call date

,

Called away

,

Called bond

,

Call price

,

Call protection

,

Call risk

,

Certificate of Participation

,

Committee on Uniform Securities Identification Procedures

,

Coupon pass

,

Call money rate

,

Cash account

,

Code of procedure

,

Contra broker

,

Contract broker

,

Capitalization of income

,

Capital account

,

Cost of Living Adjustment

,

Cost-of-living index

,

Council of Economic Advisers

,

Current account

,

Cash and carry trade

,

Chasing the market

,

Cheapest to deliver

,

Chicago Board of Trade

,

Captive agent

,

Cost-of-living rider

,

Certificate of stock

,

Cost of carry

,

Certificate of title

,

Contract for deed

,

Cancellation of debt

,

Certificate of Claim

,

Chapter 7

,

Cost of debt capital

,

Cost of funds

,

C shares

,

Call option

,

Call ratio backspread

,

Call swaption

,

Class of options

,

Close to the money

,

Covered call

,

Certificate of Occupancy

,

Closing agent

,

Cloud on title

,

Cash or Deferred Arrangement

,

Class A Shares

,

Class B Shares

,

Crash of 1929

,

Crash of 1987

,

Child and dependent care credit

,

Coefficient of determination

,

Cup and handle

,

Certificate of delivery

,

Close a position

,

Cornering the market

,

Curbs in

,

Deposit in transit

,

Drawing account

,

Date of issue

,

Date of payment

,

Drawn securities

,

Dual currency bond

,

Dual listing

,

Deep discount broker

,

Discount broker

,

Discretionary account

,

Division of Enforcement

,

Division of Investment Management

,

Division of Market Regulation

,

Date of record

,

Disbursing agent

,

Dividend in arrears

,

Desk (the)

,

Division of labor

,

Dual life insurance

,

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

,

Dual-purpose fund

,

Deep in the money

,

Deep out of the money

,

Deed of Surrender

,

Department of Housing and Urban Development

,

Deferred account

,

Dogs of the Dow

,

Depth of market

,

Eurodollar certificate of deposit

,

Escrowed to maturity

,

Ex-legal

,

Either-or order

,

ECU

,

E-mini

,

Exchange for futures

,

Exchange for physical

,

Exchange of spot

,

Ex-pit transaction

,

Export license

,

Executive indemnity insurance

,

Ex-all

,

Enrolled agent

,

Ex-warrants

,

Employee Retirement Income Security Act of 1974

,

Ex-rights

,

Ex-rights date

,

First In First Out

,

Federal Savings and Loan Association

,

Frozen account

,

First call date

,

Fiscal agent

,

Flight to quality

,

Flow of funds

,

Federal Call

,

Fill or kill

,

Floor broker

,

Front-ending an order

,

Full-service brokerage

,

Forward P/E

,

Factors of production

,

Favorable balance of trade

,

Fed pass

,

Fee-for-service

,

Form 8-K

,

Form S-1

,

Friends and family offering

,

Full faith and credit

,

Family of funds

,

Fund of funds

,

Free and clear

,

Flexible spending account

,

Free right of exchange

,

Federal ID Number

,

Ginnie Mae pass-through

,

Government securities

,

Government Securities Clearing Corporation

,

General account

,

General Securities Representative Examination

,

G-7

,

General Agreement on Tariffs and Trade

,

G-8

,

Growth and income fund

,

Gather in the stops

,

Hart-Scott-Rodino Act of 1976

,

Hit the bid

,

House account

,

House call

,

House of issue

,

Health Insurance Portability and Accountability Act

,

Holder in due course

,

Home equity line of credit

,

Head and shoulders

,

Hammering the market

,

Held at the opening

,

Holding the market

,

Inactive account

,

Insured account

,

In escrow

,

International Securities Identification Number

,

Independent broker

,

In-house

,

Institutional brokerage

,

Introducing broker

,

Investment Advisor Act of 1940

,

Investment Company Act of 1940

,

In line

,

Independent agent

,

Individual policy pension trust

,

Insurance agent

,

Insurance broker

,

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

,

In-service withdrawal

,

Individual tax return

,

Imbalance of orders

,

In and out

,

Individual investor

,

In sympathy

,

In the tank

,

Joint account

,

Jointly and severally

,

Jumping the gun

,

Joint and several liability

,

Joint and survivor annuity

,

Last In First Out

,

Legal list

,

Lender of last resort

,

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

,

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

,

Lock-in

,

Leg

,

Long leg

,

Leading the market

,

Locked in

,

Long-term gain or loss

,

Level I quotes

,

Mortgage pass-through security

,

Maintenance call

,

Make a market

,

Managed account

,

Margin account

,

Margin call

,

Market on close order

,

Mark-to-market

,

Medium of exchange

,

Marginal propensity to consume

,

Modified pass-through

,

Money at call

,

Mortgage broker

,

Marketable securities

,

Mixed account

,

Negotiable certificate of deposit

,

Negotiable Order of Withdrawal

,

Nostro account

,

Notice of Sale

,

NYSE

,

NASD

,

NASD Regulation

,

National Association of Securities Dealers

,

National Association of Securities Dealers Automated Quotations system

,

National Securities Clearing Corporation

,

National Securities Trade Association

,

Null and void

,

Notice of Default

,

Naked call

,

National Association of Real Estate Investment Trusts

,

Normal retirement age

,

NYSE Composite Index

,

Off the books

,

Office of Thrift Supervision

,

Out-of-favor

,

Over-the-Counter

,

On-floor order

,

Online broker

,

On margin

,

Option account

,

Or better

,

Outside broker

,

Omnibus account

,

Opinion of title

,

On account

,

On-the-spot loan

,

Owe

,

Option series

,

Out of the money

,

Old age, survivors, and disability insurance

,

On-balance volume

,

Odd lot buy/sell ratio

,

On close

,

On open

,

On the opening

,

Pooling of interests

,

Profit and loss statement

,

Pass-through

,

Pass-through coupon rate

,

Paying agent

,

Payment-in-kind security

,

Price Value of a Basis Point

,

Private sector pass-through

,

Provisional call feature

,

Payment for order flow

,

Prime broker

,

Prime brokerage

,

Public Securities Association

,

P&L

,

Provision for income taxes

,

Power of Attorney

,

Prioritization of debt

,

Paid-in capital

,

Paid-in surplus

,

Percent held by institutions

,

Private Investment in Public Equity

,

Preservation of capital

,

Point-and-figure chart

,

Painting the tape

,

Put/call ratio

,

Reports and Records

,

Return of capital

,

Return on Capital

,

Return on Invested Capital

,

Return on Total Assets

,

Reading the tape

,

Regulation D

,

Regulation G

,

Regulation T

,

Regulation U

,

Restricted account

,

Retail brokerage

,

Round of funding

,

Rule 10b-6

,

Rules of Fair Practice

,

Rate of exchange

,

Reciprocal of European terms

,

Regulation A

,

Right of first refusal

,

Right of rescission

,

Right to Know

,

Revolving line of credit

,

Right of recourse

,

Rule of 78

,

Real estate agent

,

Real estate broker

,

Right of redemption

,

Retirement Equity Act of 1984

,

Return on Capital Employed

,

Rate of return

,

Real rate of return

,

SEC filing

,

Selling, General and Administrative Expenses

,

SG&A

,

Savings account

,

Savings and Loan

,

Sight letter of credit

,

S&L

,

SEC

,

Securities and Exchange Commission

,

Sell

,

Series bond

,

Series EE bond

,

Series HH bond

,

SEC fee

,

Securities analyst

,

Securities Industry Association

,

Securities Investor Protection Corporation

,

Securities loan

,

Segregation of securities

,

Sell limit order

,

Sell order

,

Sell plus

,

Sell-side analyst

,

Sell the book

,

Series 6

,

Series 63

,

Series 7

,

Street broker

,

Sweep account

,

Standard of living

,

Series 3

,

Second-to-die insurance

,

Separate account

,

Stock power

,

Statute of Limitations

,

Sale and leaseback

,

Satisfaction of debt

,

Securities lending

,

Staggered board of directors

,

Series fund

,

Selling the spread

,

Series

,

Short leg

,

Savings Incentive Match Plan for Employees

,

Self-directed retirement account

,

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

,

T-Bill

,

Term to maturity

,

Take a position

,

Trailing P/E

,

Transfer agent

,

Tenancy by the entirety

,

Truth in Lending

,

Tenancy at will

,

The Street

,

Timing the market

,

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

,

Undermargined account

,

Uniform Securities Act

,

Uncovered call

,

Unit of trade

,

Unit of trading

,

Wrap account

,

Work force

,

Waiver of premium

,

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

,

Y shares


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