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Registered options principal

An employee of a 

Brokerage

 firm who observes and regulates options exposure and 

Activity

 in client 

Account

. A registered options 

Principal

 must complete the 

NASD

 Series 4 exam in 

Order

 to demonstrate sufficient knowledge of options and options 

Trading

.



Related Terms: 17

Account

,

Activity

,

Broker

,

Brokerage

,

Brokerage firm

,

Client

,

Inc.

,

Lien

,

NOW

,

NASD

,

Order

,

Option

,

Principal

,

Register

,

Registered options principal

,

Series

,

Trading


Other Related Pages:

Category: Options


Starting With: R


Semi Related Terms: 649  CLICK HERE TO VIEW

10-K

,

Account

,

Accounts receivable

,

Accounts receivable aging

,

Accounts receivable turnover

,

Account statement

,

Account aggregation

,

Account balance

,

Active account

,

Adjustable rate

,

Alternate account

,

Asset management account

,

Accrual of discount

,

Amortization of premium

,

At par

,

Account executive

,

All or any part

,

Alternative order

,

At best

,

At call

,

Automated Order Entry System

,

Adjustable rate preferred stock

,

At risk

,

Add-on service

,

Abstract of title

,

Action to quiet title

,

As is

,

Assignment to creditors

,

Attorney in fact

,

Adjustable Rate Mortgage

,

Advance rate

,

Annual Percentage Rate

,

Applicable federal rate

,

Assignment of mortgage

,

A shares

,

American option

,

American-style option

,

Asian option

,

At the money

,

Average option

,

Absorption rate

,

Age-weighted plan

,

Across the board

,

Activity

,

Additional paid-in capital

,

Ad valorem

,

After-hours trading

,

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

,

Burn rate

,

Banking Act of 1933

,

Benchmark interest rate

,

Bid-to-cover ratio

,

Bureau of Public Debt

,

Broker

,

Brokerage

,

Brokerage firm

,

Brokerage house

,

Broker loan

,

Brought over the wall

,

Buying on margin

,

Buy limit order

,

Buy minus order

,

Buy on close

,

Buy on opening

,

Buy order

,

Buy stop order

,

Buy the book

,

Balance of payments

,

Bank Rate

,

Base interest rate

,

Board of Governors

,

Basis trading

,

Breaking the syndicate

,

Bill of exchange

,

Bill of sale

,

Breach of trust

,

By the book

,

Base rate

,

Blanket lien

,

Blended rate

,

Broker loan rate

,

B shares

,

Buy and write

,

Break-even tax rate

,

Breadth-of-market theory

,

Beat the gun

,

Contra account

,

Cost Of Goods Sold

,

Cost of sales

,

Credit order

,

Central assets account

,

Checkbook register

,

Checking account

,

Custodial account

,

Certificate of Participation

,

Committee on Uniform Securities Identification Procedures

,

Conversion option

,

Coupon rate

,

Current production rate

,

Call money rate

,

Cash account

,

Clearing firm

,

Client

,

Code of procedure

,

Contingency order

,

Contingent order

,

Contra broker

,

Contract broker

,

Capitalization of income

,

Capitalization rate

,

Cap rate

,

Capital account

,

Civilian unemployment rate

,

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

,

Commodities Exchange Act

,

Commodity Futures Trading Commission

,

Commodity Trading Advisor

,

Cost-of-living rider

,

Certificate of stock

,

Chicago Board Options Exchange

,

Cost of carry

,

Certificate of title

,

Cancellation of debt

,

Certificate of Claim

,

Cost of debt capital

,

Cost of funds

,

C shares

,

Call option

,

Class of options

,

Close to the money

,

Covered option

,

Certificate of Occupancy

,

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

,

Day order

,

Deep discount broker

,

Designated Order Turnaround

,

Discount broker

,

Discretionary account

,

Discretionary order

,

Division of Enforcement

,

Division of Investment Management

,

Division of Market Regulation

,

Date of record

,

Dividend in arrears

,

Dividend rate

,

Desk (the)

,

Discount rate

,

Division of labor

,

Daily trading limit

,

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

,

Deferred account

,

Dogs of the Dow

,

Depth of market

,

Effective annual interest rate

,

Eurodollar certificate of deposit

,

Embedded option

,

Escrowed to maturity

,

Ex-legal

,

Either-or order

,

Exchange rate

,

Economic growth rate

,

Edge Act

,

E-mini

,

Exchange of spot

,

Ex-pit transaction

,

Effective tax rate

,

Employee Stock Purchase Plan

,

Employee stock repurchase agreement

,

Equity option

,

Ex-all

,

European-style option

,

Exchange-traded option

,

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

,

Flight to quality

,

Floating-rate bond

,

Flow of funds

,

Fill or kill

,

Firm quotation

,

Floor broker

,

Front-ending an order

,

Full-service brokerage

,

Floating exchange rate

,

Foreign currency option

,

Foreign exchange rate

,

Forward exchange rate

,

Forward P/E

,

Factors of production

,

Favorable balance of trade

,

Federal Reserve Discount Rate

,

Futures option

,

Form 8-K

,

Form S-1

,

Firm commitment offering

,

Friends and family offering

,

Fair Credit Reporting Act

,

Fair Debt Collection Practices Act

,

Firm commitment lending

,

Fixed rate

,

Fixed-rate loan

,

Fixed-Rate Mortgage

,

Floating rate

,

Forward interest rate

,

Forward Rate Agreement

,

Full faith and credit

,

Family of funds

,

Fund of funds

,

Far option

,

Free and clear

,

Federal Insurance Contributions Act

,

Flexible spending account

,

Free right of exchange

,

Federal tax lien

,

General account

,

Glass-Steagall Act

,

G-7

,

General Agreement on Tariffs and Trade

,

G-8

,

General lien

,

Growth and income fund

,

Gather in the stops

,

Hart-Scott-Rodino Act of 1976

,

Hit the bid

,

House account

,

House of issue

,

Health Insurance Portability and Accountability Act

,

Holder in due course

,

Home equity line of credit

,

Home Mortgage Disclosure Act

,

Highly compensated employee

,

Head and shoulders

,

Hammering the market

,

Held at the opening

,

Historical trading range

,

Holding the market

,

Inactive account

,

Insured account

,

In escrow

,

Interest rate collar

,

Interest rate risk

,

Interest rate swap

,

Independent broker

,

In-house

,

Institutional brokerage

,

Introducing broker

,

Investment Advisor Act of 1940

,

Investment Company Act of 1940

,

In line

,

Inflation rate

,

Interest rate futures

,

Interbank Rate

,

Insurance broker

,

Insider trading

,

Insider Trading sanctions Act of 1984

,

Internal Rate of Return

,

Indication of interest

,

Inc.

,

In intestacy

,

Interest rate

,

Interest rate cap

,

Interest rate ceiling

,

Interest rate floor

,

In play

,

In-process research and development

,

Index option

,

Interest rate option

,

I/O strip

,

In-service withdrawal

,

Imbalance of orders

,

In and out

,

In sympathy

,

Intermarket Trading System

,

In the tank

,

Joint account

,

Jointly and severally

,

Jumping the gun

,

Joint and several liability

,

Joint and survivor annuity

,

Know Your Customer

,

Knock-out option

,

Last In First Out

,

Lender of last resort

,

Law of one price

,

Lending at a rate

,

Limit-on-close order

,

Limit order

,

Limit order book

,

Limit order information system

,

Law of demand

,

Law of supply

,

Last trading day

,

London International Financial Futures and Options Exchange

,

London Inter-Bank Offer Rate

,

Letter of comment

,

Legal age

,

Lien

,

Lien affidavit

,

Line of credit

,

Loan-to-cost

,

Loan-to-value

,

Lock-in

,

Lapsed option

,

Listed option

,

Leading the market

,

Locked in

,

Long-term gain or loss

,

Level I quotes

,

Money order

,

Matrix trading

,

Make a market

,

Managed account

,

Margin account

,

Margin rate

,

Market if touched order

,

Market on close order

,

Market order

,

Mark-to-market

,

Member firm

,

Medium of exchange

,

Marginal propensity to consume

,

Mortgage lien

,

Market rate

,

Money at call

,

Mortgage broker

,

Mortgage rate

,

Mill rate

,

Mixed account

,

Negotiable certificate of deposit

,

Negotiable Order of Withdrawal

,

Nostro account

,

NOW

,

Nominal rate

,

Notice of Sale

,

NASD

,

NASD Regulation

,

National Association of Securities Dealers

,

National Association of Securities Dealers Automated Quotations system

,

No limit order

,

Nonmember firm

,

No quote

,

Non-equity option

,

No-Fault

,

No-Action Letter

,

Null and void

,

No-lien affidavit

,

Notice of Default

,

Notional principal amount

,

No-load

,

Naked option

,

Near option

,

Non-qualified stock option

,

Non-statutory stock option

,

National Association of Real Estate Investment Trusts

,

Normal retirement age

,

No-load stock

,

No book

,

Off the books

,

Office of Thrift Supervision

,

Out-of-favor

,

Over-the-Counter

,

Off-floor order

,

On-floor order

,

Online broker

,

On margin

,

Open order

,

Option account

,

Or better

,

Order

,

Order flow

,

Order ticket

,

Outside broker

,

Operating rate

,

Omnibus account

,

Option

,

Opinion of title

,

On account

,

On-the-spot loan

,

Original principal balance

,

Option income fund

,

Option chain

,

Option contract

,

Option holder

,

Option margin

,

Option pool

,

Option premium

,

Option price

,

Option pricing curve

,

Options Clearing Corporation

,

Option series

,

Option spread

,

Options Prices Reporting Authority

,

Option writer

,

Out of the money

,

Old age, survivors, and disability insurance

,

On-balance volume

,

On close

,

On open

,

On the opening

,

Option exchange

,

Order book official

,

Order imbalance

,

Owner-employee

,

Pooling of interests

,

Profit and loss statement

,

Pass-through coupon rate

,

Payment-in-kind security

,

Price Value of a Basis Point

,

Prior lien bond

,

Payment for order flow

,

Prime broker

,

Prime brokerage

,

P&L

,

Power of Attorney

,

Prime rate

,

Principal

,

Principal amount

,

Principal balance

,

Principal risk

,

Prioritization of debt

,

Prime rate fund

,

Physical option

,

Put option

,

Prudent Expert Act

,

Paid-in capital

,

Paid-in surplus

,

Private Investment in Public Equity

,

Preservation of capital

,

Program trading

,

Point-and-figure chart

,

Painting the tape

,

Paper trading

,

Register

,

Reports and Records

,

Retention rate

,

Return of capital

,

Return on Capital

,

Return on Invested Capital

,

Return on Total Assets

,

Run rate

,

Real interest rate

,

Rate covenant

,

Registered coupon bond

,

Registered security

,

Reading the tape

,

Registered Representative

,

Regulation D

,

Regulation G

,

Regulation T

,

Regulation U

,

Restricted account

,

Retail brokerage

,

Round of funding

,

Rules of Fair Practice

,

Rate of exchange

,

Reciprocal of European terms

,

Real economic growth rate

,

Registered Retirement Savings Plan

,

Red herring

,

Registered Company

,

Regulation A

,

Right of first refusal

,

Right of rescission

,

Right to Know

,

Rate-improvement

,

Rate lock

,

Remaining principal balance

,

Renegotiable rate

,

Revolving line of credit

,

Right of recourse

,

Rule of 78

,

Registered options principal

,

Real estate broker

,

Right of redemption

,

Retirement Equity Act of 1984

,

Return on Capital Employed

,

Rate of return

,

Real rate of return

,

Selling, General and Administrative Expenses

,

SG&A

,

Savings account

,

Savings and Loan

,

Sight letter of credit

,

S&L

,

Securities and Exchange Commission

,

Series bond

,

Series EE bond

,

Series HH bond

,

Spot rate

,

Segregation of securities

,

Sell limit order

,

Sell order

,

Sell the book

,

Series 6

,

Series 63

,

Series 7

,

Significant order

,

Small Order Execution System

,

Split order

,

Stop-limit order

,

Stop order

,

Street broker

,

Sweep account

,

Savings rate

,

Standard of living

,

Swap rate

,

Series 3

,

Spot trading

,

Second-to-die insurance

,

Separate account

,

Settlement options

,

Stock option

,

Stock option plan

,

Statute of Limitations

,

Sale and leaseback

,

Satisfaction of debt

,

Start rate

,

Staggered board of directors

,

Series fund

,

Selling the spread

,

Series

,

Single option

,

Spread option

,

Self-directed retirement account

,

Simplified Employee Pension IRA

,

Selling short against the box

,

Shorting against the box

,

S Corporation

,

Short-term gain or loss

,

Standard mileage rate

,

Subchapter M

,

Subchapter S Corporation

,

Scale order

,

Schedule C

,

Securities Act of 1933

,

Securities Acts Amendments of 1975

,

Securities Exchange Act of 1934

,

Seek a market

,

S&P phenomenon

,

Stop and reverse

,

Suspended trading

,

T-Bill

,

Term to maturity

,

Trading

,

Take a position

,

Time order

,

Trading authorization

,

Trailing P/E

,

Trading range

,

Tenancy by the entirety

,

Teaser rate

,

Truth in Lending

,

Tax lien

,

Tenancy at will

,

The Street

,

Timing the market

,

Taxpayer Relief Act of 1997

,

Tax Reform Act of 1986

,

Tax Reform Act of 1993

,

Trading profit

,

Trading Index

,

Take a bath

,

Trading costs

,

Trading curb

,

Trading floor

,

Trading halt

,

Trading session

,

Trading volume

,

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

,

Unlisted trading

,

Unemployment rate

,

Uncovered option

,

Unit of trade

,

Unit of trading

,

Variable rate

,

Williams Act

,

Wrap account

,

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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