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Series 63

The Uniform Securities 

Agent

 State Law License required by some states to be a 

Stockbroker

.



Related Terms: 5

Agent

,

Broker

,

ECU

,

SEC

,

Stockbroker


Other Related Pages:

Category: Brokerages


Starting With: S


Semi Related Terms: 278  CLICK HERE TO VIEW

10-Q

,

10-K

,

19c3 stock

,

Allowance for depreciation

,

Agent bank

,

American Stock Exchange

,

At par

,

Agent

,

All or any part

,

At best

,

At call

,

Adjustable rate preferred stock

,

At risk

,

Action to quiet title

,

Assignment to creditors

,

A shares

,

At the money

,

Age-weighted plan

,

Across the board

,

Against the box

,

At the bell

,

At the close

,

At the figure

,

At the full

,

At the market

,

At the opening order

,

Away from the market

,

Below the line

,

Bid-to-cover ratio

,

Broker

,

Broker loan

,

Brought over the wall

,

Buy the book

,

Breaking the syndicate

,

By the book

,

Broker loan rate

,

B shares

,

Borrowed stock

,

Beat the gun

,

Committee on Uniform Securities Identification Procedures

,

Common stock equivalent

,

Contra broker

,

Contract broker

,

Cyclical stock

,

Certificated stock

,

Chasing the market

,

Cheapest to deliver

,

Captive agent

,

Callable stock

,

Certificate of stock

,

Common-law voting

,

Consumer stock

,

Control stock

,

Contract for deed

,

C shares

,

Close to the money

,

Closing agent

,

Cash or Deferred Arrangement

,

Class A Shares

,

Class B Shares

,

Close a position

,

Cornering the market

,

Drawn securities

,

Deep discount broker

,

Discount broker

,

Disbursing agent

,

Desk (the)

,

Deal stock

,

Defensive stock

,

Distribution stock

,

Donated stock

,

Deep in the money

,

Deep out of the money

,

Dirty stock

,

Dogs of the Dow

,

Escrowed to maturity

,

Either-or order

,

ECU

,

E-mini

,

Exchange for futures

,

Exchange for physical

,

Export license

,

Employee Stock Purchase Plan

,

Employee stock repurchase agreement

,

Enrolled agent

,

Form 10-Q

,

Fiscal agent

,

Flight to quality

,

Fill or kill

,

Floor broker

,

Forward P/E

,

Fee-for-service

,

First preferred stock

,

Form 8-K

,

Form S-1

,

Full stock

,

Government securities

,

Government Securities Clearing Corporation

,

General Securities Representative Examination

,

Growth stock

,

G-7

,

G-8

,

Gather in the stops

,

Hit the bid

,

High-tech stock

,

Hammering the market

,

Held at the opening

,

Holding the market

,

International Securities Identification Number

,

Independent broker

,

Introducing broker

,

Income stock

,

Independent agent

,

Insurance agent

,

Insurance broker

,

I/O strip

,

In the tank

,

Jumping the gun

,

Joint Stock Company

,

Law day

,

Law of one price

,

Lending at a rate

,

Law of demand

,

Law of supply

,

Loan stock

,

Long-Term Equity Anticipation Securities

,

Legal age

,

Loan-to-cost

,

Loan-to-value

,

Leading the market

,

Long-term gain or loss

,

Level I quotes

,

Make a market

,

Market if touched order

,

Mark-to-market

,

Marginal propensity to consume

,

Marginable stock

,

Money at call

,

Mortgage broker

,

Marketable securities

,

New York Stock Exchange

,

National Association of Securities Dealers

,

National Association of Securities Dealers Automated Quotations system

,

National Securities Clearing Corporation

,

National Securities Trade Association

,

Nonvoting stock

,

Non-qualified stock option

,

Non-statutory stock option

,

Normal retirement age

,

No-load stock

,

Off the books

,

Over-the-Counter

,

Online broker

,

Or better

,

Outside broker

,

Optionable stock

,

Original issue stock

,

On-the-spot loan

,

Out of the money

,

Old age, survivors, and disability insurance

,

On the opening

,

Paying agent

,

Price Value of a Basis Point

,

Payment for order flow

,

Prime broker

,

Public Securities Association

,

Preferred stock

,

Prior preferred stock

,

P&L

,

Provision for income taxes

,

Percent held by institutions

,

Painting the tape

,

Regulation Q

,

Required reserves

,

Reading the tape

,

Regulation D

,

Regulation G

,

Regulation T

,

Regulation U

,

Restricted stock

,

Red herring

,

Regulation A

,

Right to Know

,

Real estate agent

,

Real estate broker

,

Required Minimum Distribution

,

SEC filing

,

SG&A

,

S&L

,

State bank

,

Stock association

,

SEC

,

Securities and Exchange Commission

,

Stock buyback

,

SEC fee

,

Securities analyst

,

Securities Industry Association

,

Securities Investor Protection Corporation

,

Securities loan

,

Segregation of securities

,

Sell the book

,

Stockbroker

,

Stock loan

,

Street broker

,

Second preferred stock

,

Stock dividend

,

Single stock futures

,

Second-to-die insurance

,

Stock life insurance company

,

Secondary stock

,

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

,

Securities lending

,

Stock fund

,

Selling the spread

,

Synthetic stock

,

Savings Incentive Match Plan for Employees

,

Stock list

,

Story stock

,

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

,

T-Bill

,

Term to maturity

,

Take a position

,

Trailing P/E

,

Transfer agent

,

Treasury Stock

,

Tenancy by the entirety

,

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

,

Uniform Securities Act

,

Uniform submission agreement

,

Value stock

,

Vetoing stock

,

Voting stock

,

Watered stock

,

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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