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SEC

Securities and 

Exchange

 Commission. The primary federal regulatory 

Agency

 for the securities 

Industry

, whose responsibility is to promote full 

Disclosure

 and to protect investors against fraudulent and manipulative practices in the securities markets. The securities and Exchange 

Commission

 enforces, among other acts, the 

Securities Act of 1933

, the Securities 

Exchange

 Act of 1934, the Trust 

Indenture

 Act of 1939, the 

Investment Company Act of 1940

 and the Investment Advisers Act. The supervision of dealers is delegated to the self-regulatory bodies of the exchanges. The securities and Exchange 

Commission

 is an independent, quasi-judiciary agency. It has five commissioners, each appointed for a five year 

Term

 that is staggered so that one new commissioner is being replaced every year. No more than three members of the 

Commission

 can be of a 

Single

 political 

Party

. The securities and Exchange 

Commission

 is comprised of four basic divisions. The Division of Corporate 

Finance

 is in 

Charge

 of making sure all 

Publicly traded

 companies disclose the required financial information to investors. The 

Division of Market Regulation

 oversees all legislation involving brokers and 

Brokerage

 firms. The 

Division of Investment Management

 regulates the mutual 

Fund

 and investment 

Advisor

 industries. And the 

Division of Enforcement

 enforces the securities legislation and investigates possible violations.



Related Terms: 48

ACH

,

Agency

,

Advisor

,

Broker

,

Brokerage

,

Brokerage firm

,

Charge

,

Commission

,

CLO

,

Close

,

Dealer

,

Division of Enforcement

,

Division of Investment Management

,

Division of Market Regulation

,

Disclosure

,

Dependent

,

Deal

,

Exchange

,

ECU

,

Finance

,

Full

,

Fed

,

Full disclosure

,

Fund

,

Fraud

,

FRA

,

FIN

,

Indenture

,

Investment Company Act of 1940

,

Industry

,

Investment company

,

Leg

,

Mutual fund

,

Market

,

Point

,

PPO

,

Party

,

Public

,

Publicly traded

,

SEC

,

Securities and Exchange Commission

,

SIC

,

Single

,

Securities Act of 1933

,

Securities Exchange Act of 1934

,

Term

,

Trade

,

Trust


Other Related Pages:

Category: Trading


Starting With: S


Semi Related Terms: 1019  CLICK HERE TO VIEW

10-Q

,

10-K

,

1035 exchange

,

12b-1 funds

,

Accredited Personal Financial Planning Specialist

,

Allowance for depreciation

,

ACH

,

Adjustable rate

,

Asset management account

,

Above par

,

Accrual of discount

,

Accrued market discount

,

Active management

,

Agency bond

,

Agency security

,

American Stock Exchange

,

Amortization of premium

,

At par

,

Agency

,

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

,

Affinity fraud

,

As is

,

Assignment to creditors

,

Attorney in fact

,

Adjustable Rate Mortgage

,

Advance rate

,

Amortization term

,

Annual Percentage Rate

,

Applicable federal rate

,

Asset-based finance

,

Assignment of mortgage

,

Advisor

,

Aggressive growth fund

,

A shares

,

Asset allocation fund

,

Assets under management

,

Automatic investment plan

,

Average price per share

,

At the money

,

Absorption rate

,

Age-weighted plan

,

Across the board

,

Additional paid-in capital

,

Average up

,

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

,

Accredited investor

,

Angel investor

,

Below the line

,

Books of final entry

,

Books of original entry

,

Book value per share

,

Burn rate

,

Bank holding company

,

Banking Act of 1933

,

Bank Trust Department

,

Balanced fund

,

Below par

,

Benchmark interest rate

,

Bid-to-cover ratio

,

Blend fund

,

Block trade

,

Bond fund

,

Bond indenture

,

Bond market

,

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

,

Basic earnings per share

,

Balance of payments

,

Bank Rate

,

Base interest rate

,

Base-year analysis

,

Basis point

,

Bear market

,

Board of Governors

,

Bulldog market

,

Breaking the syndicate

,

Bill of exchange

,

Bill of sale

,

Breach of trust

,

By the book

,

Bank term loan

,

Base rate

,

Blended rate

,

Broker loan rate

,

Business finance companies

,

Bust-up takeover

,

Back-end load

,

B shares

,

Buy and write

,

Balanced investment strategy

,

Behavioral finance

,

Break-even tax rate

,

Breadth-of-market theory

,

Beat the gun

,

Bull market

,

Calendar year

,

Capital investment

,

Certified Public Accountant

,

Charge

,

Combined financial statement

,

Commercial year

,

Consolidated financial statement

,

Cost Of Goods Sold

,

Cost of sales

,

Commission

,

Capital market

,

Certificate of Participation

,

CLO

,

Collateral trust certificate

,

Committee on Uniform Securities Identification Procedures

,

Corporate bond equivalent

,

Corporate trust

,

Coupon rate

,

Current market value

,

Current production rate

,

Call money rate

,

Clearing firm

,

Clearing member

,

Code of procedure

,

Commission house

,

Contra broker

,

Contract broker

,

Crossed trade

,

Chicago Mercantile Exchange

,

Capitalization of income

,

Capitalization rate

,

Cap rate

,

Capital formation

,

Civilian unemployment rate

,

Cost of Living Adjustment

,

Cost-of-living index

,

Council of Economic Advisers

,

Cyclical industry

,

Carrying charge

,

Cash and carry trade

,

Cash market

,

Chasing the market

,

Cheapest to deliver

,

Chicago Board of Trade

,

Commodities Exchange Act

,

Commodities Exchange Center

,

Commodity Exchange

,

Commodity Futures Trading Commission

,

Commodity Trading Advisor

,

Contract market

,

Crop year

,

Convertible term insurance

,

Cost-of-living rider

,

Capital gains distribution

,

Certificate of stock

,

Chicago Board Options Exchange

,

Corporate action

,

Corporate governance

,

Cost of carry

,

Corporate Financing Committee

,

Certificate of title

,

Contract for deed

,

Corporate fiduciary

,

Cancellation of debt

,

Certificate of Claim

,

Charge card

,

Closed-end credit

,

Commercial finance

,

Cost of debt capital

,

Cost of funds

,

Credit agency

,

Controlled company

,

Capital appreciation fund

,

Clone fund

,

Closed-end fund

,

Closed-end investment company

,

Closed fund

,

Collective trust

,

Contingent deferred sales charge

,

Crossover fund

,

C shares

,

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

,

Corporate repurchase

,

Crash of 1929

,

Crash of 1987

,

Capital gains tax

,

Child and dependent care credit

,

Coefficient of determination

,

Cup and handle

,

Certificate of delivery

,

Close

,

Close a position

,

Close market

,

Close out

,

Continuous market

,

Cornering the market

,

Curbs in

,

Corporate venture capital

,

Deferred charge

,

Dealer bank

,

Deposit in transit

,

Date of issue

,

Date of payment

,

Dealer market

,

Debt market

,

Drawn securities

,

Dealer

,

Deep discount broker

,

Del credere agency

,

Discount broker

,

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

,

Delivery point

,

Decreasing term life

,

Deal stock

,

Direct Public Offering

,

De-escalation clause

,

De facto

,

Disclosure

,

Discretionary trust

,

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

,

Defensive investment strategy

,

Dogs of the Dow

,

Double up

,

Dependent

,

Daylight trade

,

Day trade

,

Deep market

,

Depth of market

,

Double auction market

,

Deal

,

Deal flow

,

Effective annual interest rate

,

Eurodollar certificate of deposit

,

Escrowed to maturity

,

Exchange

,

Ex-legal

,

External market

,

Either-or order

,

Exchange seat

,

ECU

,

Exchange rate

,

Effective par

,

Economic growth 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

,

Effective tax rate

,

Ex-all

,

Exchange ratio

,

Enhanced index fund

,

Environmental fund

,

Equity fund

,

Exchange fund

,

Exchange privilege

,

Exchange-traded option

,

Ex-warrants

,

Employee Retirement Income Security Act of 1974

,

Ex-rights

,

Ex-rights date

,

Even up

,

Exchange distribution

,

Financial Accounting Standards Board

,

Financial asset

,

Financial capital

,

Financial statement

,

First In First Out

,

Fiscal year

,

Fixed-charge coverage ratio

,

Form 10-Q

,

Federal Deposit Insurance Corporation

,

Federal funds

,

Federal Savings and Loan Association

,

Fed funds

,

Financial institution

,

Federal Home Loan Mortgage Corporation

,

Federal National Mortgage Association

,

Federal Reserve Note

,

Finance

,

Financial instrument

,

Flight to quality

,

Floating-rate bond

,

Flow of funds

,

Full

,

Full lot

,

Full price

,

Federal Call

,

Fill or kill

,

Financial analyst

,

Firm quotation

,

Floor broker

,

Front-ending an order

,

Full-service brokerage

,

Fund supermarket

,

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

,

Fed

,

Fed bias

,

Fed Chairman

,

Federal Reserve Bank

,

Federal Reserve Board

,

Federal Reserve Discount Rate

,

Federal Reserve requirement

,

Federal Trade Commission

,

Fed pass

,

Free market

,

Free market price

,

Free trade

,

Financial futures

,

Foreign direct investment

,

Fee-for-service

,

Front-end load

,

Full surrender

,

Fair market value

,

Form 8-K

,

Form S-1

,

Full disclosure

,

Full stock

,

Firm commitment offering

,

Friends and family offering

,

Fund

,

Fraud

,

Fair Credit Reporting Act

,

Fair Debt Collection Practices Act

,

Federal Housing Administration

,

Finance charge

,

Finance company

,

Financial risk

,

Firm commitment lending

,

Fixed rate

,

Fixed-rate loan

,

Fixed-Rate Mortgage

,

Floating rate

,

Forward interest rate

,

Forward Rate Agreement

,

FRA

,

Full faith and credit

,

Family of funds

,

Financial advisor

,

Focused fund

,

Fund family

,

Fund manager

,

Fund of funds

,

Full ratchet

,

Free and clear

,

Federal Insurance Contributions Act

,

Fixed investment trust

,

Free right of exchange

,

Federal ID Number

,

Federal Tax Identification Number

,

Federal tax lien

,

FIN

,

Forward trade

,

Fourth market

,

Government securities

,

Government Securities Clearing Corporation

,

Guaranteed Investment Contract

,

General Securities Representative Examination

,

Glass-Steagall Act

,

G-7

,

General Agreement on Tariffs and Trade

,

G-8

,

Global fund

,

Going public

,

Growth and income fund

,

Growth fund

,

Ginnie Mae trust

,

Gather in the stops

,

Growth industry

,

Graveyard market

,

Hart-Scott-Rodino Act of 1976

,

Hit the bid

,

House of issue

,

Hang Seng Index

,

Health Insurance Portability and Accountability Act

,

Holding company

,

Holder in due course

,

Hang out loan

,

Home equity line of credit

,

Home Mortgage Disclosure Act

,

HUD-1 statement

,

Hedge fund

,

Housing Market Index

,

Head and shoulders

,

Hammering the market

,

Held at the opening

,

Holding the market

,

Investment flows

,

Indenture

,

In escrow

,

Interest rate collar

,

Interest rate risk

,

Interest rate swap

,

Intermediate-term

,

International Securities Identification Number

,

Investment bill

,

Investment-grade bond

,

Investment letter

,

Investment security

,

Investment value

,

Independent broker

,

In-house

,

Institutional brokerage

,

Introducing broker

,

Investment Advisor Act of 1940

,

Investment bank

,

Investment banker

,

Investment Bankers Association

,

Investment banking

,

Investment banking group

,

Investment Company Act of 1940

,

In line

,

Inefficient market

,

Inflation rate

,

International Monetary Fund

,

Investment multiplier

,

Interest rate futures

,

Inverted market

,

Interbank Rate

,

Internal market

,

International trade

,

Independent agent

,

Individual policy pension trust

,

Insurance broker

,

Industry

,

Initial Public Offering

,

Inside market

,

Insider Trading sanctions Act of 1984

,

Internal Rate of Return

,

Investor relations

,

Indication of interest

,

In intestacy

,

Inter vivos trust

,

Interest rate

,

Interest rate cap

,

Interest rate ceiling

,

Interest rate floor

,

In play

,

In-process research and development

,

Income fund

,

Index fund

,

Institutional fund

,

International fund

,

Investment company

,

Investment fund

,

Investment objective

,

Investment policy

,

Investment trust

,

Interest rate option

,

I/O strip

,

Investment property

,

In-service withdrawal

,

Investment philosophy

,

Inflection point

,

Imbalance of orders

,

Imperfect market

,

In and out

,

Individual investor

,

Institutional investor

,

In sympathy

,

In the tank

,

Jointly and severally

,

Jumping the gun

,

Joint and several liability

,

Joint and survivor annuity

,

Joint Stock Company

,

Last In First Out

,

Lender of last resort

,

Law of one price

,

Long-term

,

Lending at a rate

,

Lessee member

,

Limit-on-close order

,

Limit order information system

,

Long Market Value

,

Labor force

,

Law of demand

,

Law of supply

,

Limit up

,

London International Financial Futures and Options Exchange

,

Limited company

,

London Inter-Bank Offer Rate

,

Level term insurance

,

Long-term care insurance

,

Long-term debt

,

Long-Term Equity Anticipation Securities

,

Letter of comment

,

Legal age

,

Living trust

,

Line of credit

,

Loan-to-cost

,

Loan-to-value

,

Lock-in

,

Long-term mortgage

,

Lifecycle fund

,

Load fund

,

Leg

,

Long leg

,

Long-term lease

,

Leading the market

,

Like-kind exchange

,

Limited Liability Company

,

Locked in

,

Long-term gain or loss

,

Level I quotes

,

Liquid market

,

Locked market

,

Member bank

,

Mutual association

,

Mutual company

,

Mutual Savings Bank

,

Market basket

,

Market capitalization

,

Market conversion price

,

Medium-term

,

Medium-term bond

,

Municipal bond fund

,

Municipal investment trust

,

Muni fund

,

Make a market

,

Margin rate

,

Market if touched order

,

Market letter

,

Market maker

,

Market maker spread

,

Market on close order

,

Market order

,

Mark-to-market

,

Member firm

,

Money management

,

Medium of exchange

,

Marginal propensity to consume

,

Market economy

,

Making delivery

,

Market rate

,

Money at call

,

Mortgage broker

,

Mortgage rate

,

Management buyin

,

Management company

,

Mutual fund

,

Mutual fund custodian

,

Mutual fund symbol

,

Marketable securities

,

Market cap

,

Market neutral

,

Market portfolio

,

Market timer

,

Market timing

,

Mill rate

,

Mutual exclusion doctrine

,

Mutual improvement certificate

,

Market analysis

,

Market

,

Market inefficiency

,

Market opening

,

Market return

,

Market-share weighted index

,

Market surveillance

,

Market-value weighted index

,

Market Volatility Index

,

Mixed market

,

Net investment

,

Non-financial asset

,

Negotiable certificate of deposit

,

Negotiable Order of Withdrawal

,

National Market System

,

New York Stock Exchange

,

Nominal rate

,

Notice of Sale

,

NASD Regulation

,

National Association of Securities Dealers

,

National Association of Securities Dealers Automated Quotations system

,

National Securities Clearing Corporation

,

National Securities Trade Association

,

No limit order

,

Nonmember firm

,

No quote

,

New York Futures Exchange

,

Normal market

,

No-Fault

,

New issue

,

No-Action Letter

,

Non-disclosure agreement

,

Nondiscretionary trust

,

Notary Public

,

Null and void

,

No-lien affidavit

,

Notice of Default

,

No-load

,

National Association of Real Estate Investment Trusts

,

Non-investment property

,

Normal retirement age

,

Nasdaq Small Cap Market

,

No-load stock

,

Narrow market

,

National Market Advisory Board

,

Negotiated market

,

Net change

,

New high

,

No book

,

Nonaccredited investor

,

Off the books

,

One time charge

,

Other current assets

,

Other long term liabilities

,

Office of Thrift Supervision

,

Out-of-favor

,

Over-the-Counter

,

On-floor order

,

Online broker

,

On margin

,

Or better

,

Outside broker

,

Other income

,

Open market operation

,

Operating rate

,

Offshore company

,

One-share one-vote rule

,

Opinion of title

,

On account

,

On-the-spot loan

,

Open-end credit

,

Open-end mortgage

,

Open-end fund

,

Open-end management company

,

Option income fund

,

Out of the money

,

Open-end lease

,

Old age, survivors, and disability insurance

,

On-balance volume

,

On close

,

One man picture

,

On open

,

On the opening

,

Open market

,

Open trade equity

,

Operationally efficient market

,

Option exchange

,

Outside market

,

Pooling of interests

,

Profit and loss statement

,

Pro forma

,

Paper dealer

,

Par bond

,

Pass-through coupon rate

,

Payment-in-kind security

,

Point

,

Premium over bond value

,

Premium over conversion value

,

Price Value of a Basis Point

,

Primary instrument

,

Public bond

,

Public offering

,

Public purpose bond

,

Payment for order flow

,

Primary Dealer

,

Prime broker

,

Prime brokerage

,

Public limited partnership

,

Public Securities Association

,

P&L

,

Primary earnings per share

,

Provision for income taxes

,

Public goods

,

Public sector

,

Physical market

,

Pacific Rim

,

PPO

,

Primary market

,

Public company

,

Public offering price

,

Party

,

Per stirpes

,

Pour-over will

,

Power of Attorney

,

Paid up

,

Prime rate

,

Prioritization of debt

,

Private Market Value

,

Pooled fund

,

Prime rate fund

,

Publicly-traded fund

,

Pure index fund

,

Pairs trade

,

Privilege dealer

,

Pension fund

,

Prudent Expert Act

,

Paid-in capital

,

Paid-in surplus

,

Participating trust

,

Passive investor

,

Private company

,

Private Investment in Public Equity

,

Public

,

Public equity

,

Publicly held

,

Publicly traded

,

Public ownership

,

Passive management

,

Perfect capital market

,

Preservation of capital

,

Point-and-figure chart

,

Painting the tape

,

Primary exchange

,

Primary listing

,

Public book

,

Qualified institutional investor

,

Qualified trust

,

Reports and Records

,

Retention rate

,

Return of capital

,

Return on Capital

,

Return on Invested Capital

,

Return on Total Assets

,

Run rate

,

Real interest rate

,

Regulation Q

,

Required reserves

,

Rate covenant

,

Real Estate Mortgage Investment Conduit

,

Reading the tape

,

Real-time trade reporting

,

Receive against payment

,

Regulation D

,

Regulation G

,

Regulation T

,

Regulation U

,

Retail brokerage

,

Round of funding

,

Rule 15c3-1

,

Rules of Fair Practice

,

Rate of exchange

,

Reciprocal of European terms

,

Regulated investment company

,

Real economic growth rate

,

Regional fund

,

Reduced paid-up insurance

,

Red herring

,

Registered Company

,

Regulation A

,

Reverse Take-Over

,

Revisionary trust

,

Revocable trust

,

Right of first refusal

,

Right of rescission

,

Right to Know

,

Rate-improvement

,

Rate lock

,

Regulation Z

,

Renegotiable rate

,

Revolving line of credit

,

Right of recourse

,

Roll over

,

Rule of 78

,

Roll up

,

Real estate broker

,

Right of redemption

,

Required Minimum Distribution

,

Retirement Equity Act of 1984

,

Regulation FD

,

Risk/return trade-off

,

Risk management

,

Return on Capital Employed

,

Rate of return

,

Real rate of return

,

Regional exchange

,

Retail investor

,

SEC filing

,

Selling, General and Administrative Expenses

,

SG&A

,

Single-entry bookkeeping

,

Sales charge

,

Savings and Loan

,

Savings Association Insurance Fund

,

Short-term reserves

,

Sight letter of credit

,

S&L

,

SEC

,

Secondary market

,

Securities and Exchange Commission

,

Self-supporting bond

,

Series EE bond

,

Short-term

,

Sinking fund

,

Spot rate

,

Staggered maturities

,

Step-up bond

,

Super sinker bond

,

SEC fee

,

Securities analyst

,

Securities Industry Association

,

Securities Investor Protection Corporation

,

Securities loan

,

Segregation of securities

,

Selective disclosure

,

Sell the book

,

Split commission

,

Street broker

,

Syndicate member

,

Savings rate

,

Smokestack industry

,

Standard of living

,

Swap rate

,

Series 3

,

Single stock futures

,

Spot market

,

Second-to-die insurance

,

Self insurance

,

Single-premium life insurance

,

Stock life insurance company

,

SIC

,

Stock exchange

,

Stock market

,

Small corporate offering registration

,

Statute of Limitations

,

Statutory investment

,

Sale and leaseback

,

Satisfaction of debt

,

Secondary mortgage market

,

Securities lending

,

Self-amortizing mortgage

,

Single-payment loan

,

Start rate

,

Structured finance

,

Staggered board of directors

,

Sector fund

,

Series fund

,

Socially responsible fund

,

Specialized fund

,

Specialty fund

,

Stock fund

,

Systematic investment plan

,

Selling the spread

,

Short leg

,

Short market value

,

Single option

,

Step-up warrant

,

Step-up lease

,

Savings Incentive Match Plan for Employees

,

Self-directed retirement account

,

Self-employed pension

,

Single-employer plan

,

Single-life annuity

,

Single-Premium Deferred Annuity

,

Surrender charge

,

Selling short against the box

,

Shorting against the box

,

Swing trade

,

S Corporation

,

Self-employed

,

Self-employment tax

,

Short-term gain or loss

,

Single

,

Sin tax

,

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

,

Small investor

,

Sophisticated investor

,

Specialist market

,

S&P phenomenon

,

Stop and reverse

,

Term CD

,

T-Bill

,

Term

,

Term bond

,

Term to maturity

,

Trade

,

Trust-preferred security

,

Take a position

,

Two-sided market

,

Two-way market

,

Trailing P/E

,

Trade barrier

,

Trade deficit

,

Trade surplus

,

Trade house

,

Term insurance

,

Tenancy by the entirety

,

Testamentary trust

,

Third party

,

Trust

,

Trust company

,

Trust fund

,

Teaser rate

,

TED spread

,

Term deposit

,

Term loan

,

Truth in Lending

,

Tax-free bond fund

,

Tax-managed fund

,

Term trust

,

Tenancy at will

,

Title company

,

Top hat plan

,

The Street

,

Timing the market

,

Taxpayer Relief Act of 1997

,

Tax Reform Act of 1986

,

Tax Reform Act of 1993

,

Take a bath

,

Term repo

,

Thinly traded

,

Thin market

,

Third market

,

Tight market

,

Trade date

,

Transparent market

,

Term sheet

,

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

,

Unemployment rate

,

Unit Investment Trust

,

Unit Trust

,

Up volume

,

Unit of trade

,

Unit of trading

,

Variable rate

,

Voting trust

,

Williams Act

,

Work force

,

World Trade Organization

,

World fund

,

Waiver of premium

,

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

,

Zero-investment portfolio


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