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Financial terms in "Brokerages"

1. distribution capability

2. NASD

3. coverage initiated

4. Market order

5. Custodian

6. Corporate Securities Limited Representative

7. scienter

8. fail to deliver

9. selective disclosure

10. Automated Order Entry System

11. private placement

12. Securities Industry Association

13. National Introducing Brokers Association (NIBA)

14. Registrar

15. advisor account

16. lessee member

17. acknowledge

18. central banker

19. research note

20. syndicate bid

21. CFA exam

22. dealer market

23. listing broker

24. round of funding

25. best-execution requirement

26. performance drag

27. custodial fee

28. disclosure requirements

29. central assets account

30. hypothecation agreement

31. Investment Company Act of 1940

32. selling away

33. Good Til Canceled

34. stock loan

35. Division of Enforcement

36. commission-only compensation

37. National Securities Clearing Corporation

38. capital requirement

39. deep discount broker

40. Discretionary Order

41. Stop order

42. brokerage house

43. New York Stock Exchange

44. Rule 19c3

45. loan consent agreement

46. SIA

47. General Securities Representative Examination

48. introducing broker

49. Contingency order

50. Office of Compliance Inspections and Examinations (OCIE)

51. National Association of Securities Dealers

52. Glass-Steagall Act

53. clearing

54. Clearing firm

55. Brokerage account

56. DNR

57. Investment Bankers Association

58. niche player

59. net capital ratio

60. Lead underwriter

61. Limit order

62. Rule 10b-6

63. brokerage

64. Dealer

65. Division of Investment Management

66. Price improvement

67. folio

68. blanket recommendation

69. broker booth support system (BBSS)

70. FINRA BrokerCheck

71. free box

72. sell plus

73. Investment bank

74. Series 39

75. all or none

76. Markup

77. daisy chaining

78. facilitation

79. average ticket

80. buy limit order

81. freed up

82. Underwriting

83. Correspondent

84. broker-reseller

85. Securities Investor Protection Corporation

86. compliance department

87. forward premium (or discount)

88. Fill or kill

89. NASDR

90. gross per broker

91. Securities and Exchange Commission

92. segregated account

93. clearing margin

94. cross

95. Trader

96. brokerage allowance

97. Rogue Trader

98. reallowance

99. discount broker

100. NASDAQ

Note: Maximum 100 records reached. Please narrow your search.

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9. Statute Of Limitations
10. Limited Severability Provision

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