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Unlisted

A security which is not traded on an 

Exchange

, usually due to an inability to meet 

Listing

 requirements. For such securities, broker/dealers negotiate directly with one another over computer networks and by phone, and their activities are monitored by the 

NASD

OTC

 stocks are usually very risky since they are the stocks that are not considered large or stable enough to 

Trade

 on a major exchange. They also tend to 

Trade

 infrequently, making the bid-ask 

Spread

 larger. Also, 

Research

 about these stocks is more difficult to obtain. also called 

Over-the-Counter

 (OTC).



Related Terms: 22

Ask

,

Bid

,

Broker

,

Call

,

Dealer

,

Deal

,

Exchange

,

ECU

,

Heir

,

Inc.

,

Listing

,

Listing requirements

,

Net

,

NASD

,

Over-the-Counter

,

OTC

,

Put

,

Risk

,

Research

,

SEC

,

Spread

,

Trade


Other Related Pages:

Category: Trading


Starting With: U


Semi Related Terms: 704  CLICK HERE TO VIEW

10-Q

,

10-K

,

1035 exchange

,

19c3 stock

,

Allowance for depreciation

,

Approved list

,

Agency security

,

American Stock Exchange

,

Ask

,

Asset-backed security

,

At par

,

All or any part

,

At best

,

At call

,

Adjustable rate preferred stock

,

All-risks coverage

,

At risk

,

Add-on service

,

Action to quiet title

,

As is

,

Assignment to creditors

,

Attorney in fact

,

A shares

,

Alligator spread

,

At the money

,

Across the board

,

Additional paid-in capital

,

Ad valorem

,

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

,

Banking Act of 1933

,

Best ask

,

Best bid

,

Bid

,

Bid/ask spread

,

Bid-to-cover ratio

,

Block trade

,

Blue List

,

Book-entry security

,

Best-execution requirement

,

Blue Sky Laws

,

Broker

,

Broker loan

,

Brought over the wall

,

Buying on margin

,

Buy on close

,

Buy on opening

,

Buy the book

,

Breaking the syndicate

,

Bill of exchange

,

By the book

,

Bailing out

,

Broker loan rate

,

Backdoor listing

,

Back-end load

,

Benchmark risk

,

B shares

,

Butterfly spread

,

Buy and write

,

Borrowed stock

,

Buy-side

,

Box spread

,

Beat the gun

,

Cabinet security

,

Call

,

Call date

,

Called away

,

Called bond

,

Call price

,

Call protection

,

Call risk

,

Committee on Uniform Securities Identification Procedures

,

Common stock equivalent

,

Convertible security

,

Credit risk

,

Call money rate

,

Closed out

,

Contra broker

,

Contract broker

,

Crossed trade

,

Chicago Mercantile Exchange

,

Cyclical stock

,

Cash and carry trade

,

Certificated stock

,

Chasing the market

,

Cheapest to deliver

,

Chicago Board of Trade

,

Commodities Exchange Act

,

Commodities Exchange Center

,

Commodity Exchange

,

Commodity-product spread

,

Crack spread

,

Crush spread

,

Country risk

,

Callable stock

,

Certificate of stock

,

Chicago Board Options Exchange

,

Consumer stock

,

Control stock

,

Competitive bid

,

Contract for deed

,

Cash-out refinancing

,

Closed-end credit

,

Crowding out

,

Closed-end fund

,

Closed-end investment company

,

C shares

,

Calendar spread

,

Call option

,

Call ratio backspread

,

Call swaption

,

Close to the money

,

Counterparty risk

,

Covered call

,

Covered put

,

Credit spread

,

Cloud on title

,

Cash or Deferred Arrangement

,

Class A Shares

,

Class B Shares

,

Child and dependent care credit

,

Cup and handle

,

Close a position

,

Close out

,

Cornering the market

,

Curbs in

,

Curbs out

,

Deficit net worth

,

Direct profit

,

Dealer bank

,

Deposit in transit

,

Direct deposit

,

Direct sends

,

Dealer market

,

Digested security

,

Direct issuer

,

Direct paper

,

Drawn securities

,

Droplock security

,

Dual listing

,

Due date

,

Dealer

,

Deep discount broker

,

Discount broker

,

Do Not Reduce

,

Dividend in arrears

,

Dividend requirement

,

Desk (the)

,

Derivative security

,

Deal stock

,

Defensive stock

,

Distribution stock

,

Donated stock

,

Direct financing

,

Direct placement

,

Direct Public Offering

,

Due diligence

,

De-escalation clause

,

De facto

,

Doing business as

,

Due process

,

Debtor in possession

,

Debtor-in-possession financing

,

Default risk

,

Direct lease

,

Double net lease

,

Due-on-sale clause

,

Debit spread

,

Deep in the money

,

Deep out of the money

,

Delta spread

,

Diagonal spread

,

Department of Housing and Urban Development

,

Direct rollover

,

Direct transfer

,

Direct participation program

,

Dirty stock

,

Distressed security

,

Diversifiable risk

,

Dogs of the Dow

,

Daylight trade

,

Day trade

,

Downside risk

,

Due bill

,

Deal

,

Deal flow

,

Equity risk premium

,

Escrowed to maturity

,

Event risk

,

Exchange

,

Exchangeable security

,

Exempt security

,

Ex-legal

,

Either-or order

,

Eligible list

,

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

,

Eligibility requirements

,

Excluded risk

,

Employee Stock Purchase Plan

,

Employee stock repurchase agreement

,

Ex-all

,

Exchange ratio

,

Exchange fund

,

Exchange privilege

,

Exchange-traded option

,

Ex-warrants

,

Exclusive listing

,

Employee Retirement Income Security Act of 1974

,

Ex-rights

,

Ex-rights date

,

Electronic Communication Network

,

Even spread

,

Exchange distribution

,

First In First Out

,

Form 10-Q

,

Federal Savings and Loan Association

,

First call date

,

Flight to quality

,

Federal Call

,

Fill or kill

,

Floor broker

,

Front-ending an order

,

Floating exchange rate

,

Foreign exchange

,

Foreign exchange rate

,

Forward deal

,

Forward exchange rate

,

Forward P/E

,

Favorable balance of trade

,

Federal Reserve requirement

,

Federal Trade Commission

,

Free trade

,

Foreign direct investment

,

Fee-for-service

,

Front-end load

,

First preferred stock

,

Form 8-K

,

Form S-1

,

Full stock

,

Floating security

,

Friends and family offering

,

Fair Credit Reporting Act

,

Fair Debt Collection Practices Act

,

Financial risk

,

Full faith and credit

,

Free and clear

,

Federal Insurance Contributions Act

,

Free right of exchange

,

Federal ID Number

,

Forward trade

,

Government securities

,

Government Securities Clearing Corporation

,

Graduated security

,

General Securities Representative Examination

,

Glass-Steagall Act

,

Growth stock

,

G-7

,

General Agreement on Tariffs and Trade

,

G-8

,

Gross spread

,

Growth and income fund

,

Gather in the stops

,

Hart-Scott-Rodino Act of 1976

,

Hit the bid

,

House call

,

Hang Seng Index

,

Health Insurance Portability and Accountability Act

,

High-tech stock

,

Heir

,

Holder in due course

,

Hang out loan

,

Home Mortgage Disclosure Act

,

Horizontal spread

,

Head and shoulders

,

Hammering the market

,

Held at the opening

,

Holding the market

,

In escrow

,

Inflation-indexed security

,

Interest rate risk

,

International Securities Identification Number

,

Investment security

,

Independent broker

,

In-house

,

Introducing broker

,

Investment Advisor Act of 1940

,

Investment Company Act of 1940

,

Income stock

,

In line

,

Intercommodity spread

,

Interdelivery spread

,

Intermarket spread

,

Intracommodity spread

,

International trade

,

Insurance broker

,

Insider Trading sanctions Act of 1984

,

Inc.

,

In intestacy

,

In play

,

In-process research and development

,

Income risk

,

I/O strip

,

In-service withdrawal

,

Idiosyncratic risk

,

In and out

,

Inside spread

,

In sympathy

,

In the tank

,

Jointly and severally

,

Jumping the gun

,

Joint and several liability

,

Joint and survivor annuity

,

Joint Stock Company

,

Knock-out option

,

Last In First Out

,

Legal list

,

Law of one price

,

Letter security

,

Limited risk

,

Listing

,

Lending at a rate

,

Limit-on-close order

,

London International Financial Futures and Options Exchange

,

Loan stock

,

Long-Term Equity Anticipation Securities

,

Legal risk

,

Loan-to-cost

,

Loan-to-value

,

Lock-in

,

Large cap

,

Leading the market

,

Listing requirements

,

Like-kind exchange

,

Locked in

,

Long-term gain or loss

,

Level I quotes

,

Marketable security

,

Mob spread

,

Mortgage-backed security

,

Mortgage pass-through security

,

Maintenance call

,

Make a market

,

Margin call

,

Market if touched order

,

Market maker spread

,

Market on close order

,

Mark-to-market

,

Multiple Listing Service

,

Medium of exchange

,

Marginal propensity to consume

,

Major medical insurance

,

Marginable stock

,

Making delivery

,

Money at call

,

Mortgage broker

,

Mortgage risk

,

Married put

,

Marketable securities

,

Net

,

Net book value

,

Net current assets

,

Net income

,

Net income multiplier

,

Net interest margin

,

Net investment

,

Net margin

,

Net Operating Income

,

Net operating margin

,

Net profit

,

Net profit margin

,

Net quick assets

,

Net sales

,

Net surplus

,

Net tangible assets

,

Negotiable security

,

New York Stock Exchange

,

Noncompetitive bid

,

NASD

,

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

,

No quote

,

New York Futures Exchange

,

No-Fault

,

Net Asset Value

,

Nonvoting stock

,

Net estate

,

No-Action Letter

,

Null and void

,

No-lien affidavit

,

No-load

,

Naked call

,

Naked put

,

Neutral spread

,

Non-qualified stock option

,

Non-statutory stock option

,

Net lease

,

No-load stock

,

Net change

,

Net position

,

Net transaction

,

Net volume

,

No book

,

Off the books

,

One time charge

,

Other current assets

,

Other long term liabilities

,

OTC Bulletin Board

,

Out-of-favor

,

Over-the-Counter

,

On-floor order

,

Online broker

,

On margin

,

Or better

,

Outside broker

,

Other income

,

One-share one-vote rule

,

Optionable stock

,

Original issue stock

,

On account

,

On-the-spot loan

,

Open-end credit

,

Open-end mortgage

,

Open-end fund

,

Open-end management company

,

Option spread

,

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 trade equity

,

Option exchange

,

OTC

,

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

,

Provisional call feature

,

Put bond

,

Put provision

,

Payment for order flow

,

Primary Dealer

,

Prime broker

,

Public Securities Association

,

Preferred stock

,

Prior preferred stock

,

P&L

,

Provision for income taxes

,

Pre-existing conditions

,

Pour-over will

,

Past-due balance method

,

Prepayment risk

,

Principal risk

,

Phone switching

,

Publicly-traded fund

,

Pairs trade

,

Perpendicular spread

,

Price spread

,

Privilege dealer

,

Protective put

,

Protective put buying

,

Put

,

Put option

,

Put swaption

,

Put warrant

,

Prudent Expert Act

,

Paid-in capital

,

Paid-in surplus

,

Percent held by institutions

,

Pre-syndicate bid

,

Private Investment in Public Equity

,

Publicly traded

,

Put ratio backspread

,

Point-and-figure chart

,

Painting the tape

,

Priced out

,

Primary exchange

,

Primary listing

,

Put/call ratio

,

Quality spread

,

Qualitative research

,

Reports and Records

,

Return on Capital

,

Return on Invested Capital

,

Return on Total Assets

,

Risk adjusted return

,

Regulation Q

,

Reserve requirement

,

Registered security

,

Residual security

,

Restricted security

,

Risk

,

Reading the tape

,

Real-time trade reporting

,

Regulation D

,

Regulation G

,

Regulation T

,

Regulation U

,

Research department

,

Rate of exchange

,

Reinvestment risk

,

Restricted stock

,

Red herring

,

Regulation A

,

Reverse Take-Over

,

Right to Know

,

Roll over

,

Ratio calendar spread

,

Ratio spread

,

Real estate broker

,

Retirement Equity Act of 1984

,

Research

,

Risk/return trade-off

,

Risk arbitrage

,

Risk-averse

,

Risk management

,

Risk neutral

,

Risk premium

,

Risk seeking

,

Return on Capital Employed

,

Regional exchange

,

Risk capital

,

SEC filing

,

Selling, General and Administrative Expenses

,

SG&A

,

Savings and Loan

,

S&L

,

Stock association

,

SEC

,

Securities and Exchange Commission

,

Series EE bond

,

Stamped security

,

Stock buyback

,

SEC fee

,

Securities analyst

,

Securities Industry Association

,

Securities Investor Protection Corporation

,

Securities loan

,

Segregation of securities

,

Sell-side analyst

,

Sell the book

,

Stock loan

,

Street broker

,

Syndicate bid

,

Second preferred stock

,

Stock dividend

,

Supply-side economics

,

Systemic risk

,

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

,

Severally but not jointly

,

Sale and leaseback

,

Securities lending

,

Security interest

,

Security loan

,

Senior security

,

Stock fund

,

Selling the spread

,

Spread option

,

Synthetic put

,

Synthetic stock

,

Savings Incentive Match Plan for Employees

,

Social Security

,

Social Security Tax

,

Secondary listing

,

Stock list

,

Story stock

,

Security analysis

,

Selling short against the box

,

Shorting against the box

,

Swing trade

,

S Corporation

,

Short-term gain or loss

,

Sin tax

,

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

,

Spread

,

Stop and reverse

,

Stopped out

,

Tangible net worth

,

T-Bill

,

Term to maturity

,

Trade

,

Treasury Direct

,

Treasury Inflation-Protected Security

,

Trust-preferred security

,

Take a position

,

Two-sided market

,

Two-way market

,

Trailing P/E

,

Trade barrier

,

Trade deficit

,

Trade surplus

,

Trade house

,

Treasury Stock

,

Tenancy by the entirety

,

TED spread

,

Triple net lease

,

Truth in Lending

,

Two-step mortgage

,

Time spread

,

Tenancy at will

,

Title search

,

Top hat plan

,

Ten-bagger

,

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

,

Thinly traded

,

Trade date

,

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

,

Unlimited risk

,

Underwriting spread

,

Uniform Securities Act

,

Underlying security

,

Uncovered call

,

Uncovered put

,

Unsystematic risk

,

Unit of trade

,

Value stock

,

Vetoing stock

,

Voting stock

,

Vertical spread

,

Watch list

,

With interest

,

Williams Act

,

Work force

,

World Trade Organization

,

Watered stock

,

Widow-and-orphan stock

,

W-2 Form

,

W formation

,

When, as, and if issued

,

X or XD

,

Year-over-year

,

Year-To-Date

,

Yield spread

,

Yield to call

,

Yield to maturity

,

Yield to worst

,

Y shares


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