An in-depth guide to the diversification of investment portfolios, discussing securities, risk management, and benefits.
An in-depth exploration of the term 'Issue', covering its definitions in finance, genealogy, and law.
An issuer is a legal entity with the power to issue and distribute securities, including corporations, municipalities, foreign and domestic governments, their agencies, and investment trusts.
An in-depth exploration of Kiting practices in banking and securities, their mechanisms, historical background, and legal implications.
The 'Last Sale' refers to the most recent trade of a particular security, distinct from the closing sale at the end of a trading session.
A comprehensive overview of a Legal List, which is a selection of high-quality securities approved by state agencies for holdings by fiduciary institutions.
An in-depth exploration of Letter Stock, an unregistered category of stock noted for its restrictions and unique characteristics within the securities market.
A comprehensive guide to Limit Orders, which includes their definition, types, benefits, examples, historical context, and related terms in trading.
A comprehensive overview of listed securities, including their definitions, types, historical context, and differences from unlisted securities.
A comprehensive overview of the long position, its definitions, types, implications in trading and investing, differences with short positions, and related terms.
Comprehensive definition of Long-term Capital Gain (Loss) including tax implications, examples, and special considerations.
Manipulation refers to buying or selling securities to create a false appearance of active trading, influencing other investors, or controlling outcomes through shrewdness or influence.
A comprehensive guide on Margin Accounts, which allow investors to buy securities with borrowed money, governed by multiple regulations.
A comprehensive exploration of Margin Call, explaining its definition, types, considerations, examples, historical context, applicability, related terms, and more.
Detailed exploration of the concept of Market, including definitions, types, examples, historical context, and related terms.
Market makers are dealers in the securities exchange who buy and sell securities for their own account to maintain an orderly market in the specific securities they manage.
A detailed overview of a market order, an immediate execution order to buy or sell a security at the best available price.
Market Timing involves deciding when to buy or sell securities based on economic and technical factors. It requires analyzing the market's direction, economic strength, interest rates, stock prices, and trading volume.
Mergent, Inc. provides comprehensive business and financial information on publicly traded companies and fixed-income securities. Key products include Mergent Online, Mergent BondSource, and the Dividend Achiever Index series.
A momentum player is a trader in the stock or commodities market who identifies a trend in the price movement of a security and rides the trend as long as it is profitable.
A detailed exploration of mortgage-backed securities, their types, characteristics, and relevance in the financial markets.
A detailed exploration of mutual funds, including their structure, benefits, types, tax implications, and historical context.
An overview of NASDAQ, the computerized system providing brokers and dealers with price quotations for securities traded over the counter and New York Stock Exchange-listed securities.
Comprehensive coverage of the National Association of Securities Dealers (NASD), its evolution into FINRA, historical context, functions, and relevance in the financial industry.
Understanding 'Negotiable': Transferable Securities, Settlement Conditions, and More
Net Proceeds refer to the amount received from the sale or disposition of property, from a loan, or the sale or issuance of securities after deduction of all costs incurred in the transaction.
An in-depth exploration of net transactions, where buyers and sellers engage in securities transactions without fees or commissions, including historical context and examples.
A comprehensive explanation of new issues, including initial public offerings (IPOs), regulations, and related terms.
A Nondiscretionary Trust is an investment trust limited to securities listed at its inception, with predetermined asset allocation parameters. Often referred to as a fixed investment trust.
An Odd Lot refers to stocks or bonds traded in blocks of fewer than 100 shares. It is different from a round lot, which usually consists of 100 shares. This term is significant in trading as it can affect liquidity and transaction costs.
An Offering Circular provides crucial information regarding securities offerings, aimed at potential investors. It is often used interchangeably with the term 'Prospectus'.
An in-depth guide to the offering date, including its definition, importance, and implications in the world of finance.
Comprehensive guide to understanding the offering price in the context of securities, including types, examples, and historical significance.
A comprehensive definition and detailed explanation of 'Offset' as used in Accounting, Banking, Printing, and Securities.
Comprehensive overview of online trading which involves buying and selling stocks or other securities through the Internet without a traditional broker.
Comprehensive definitions of 'Open' across Banking, Finance, Securities, and Computing.
An Open Order is a buy or sell order for securities that has not yet been executed or canceled. It may be classified as a Good-till-Canceled order, among other types.
Opening refers to the price at which a security or commodity starts a trading day, as well as a short time frame of market opportunity.
A detailed explanation of 'Or Better (OB)' as an instruction used in limit orders to indicate that a broker should execute the order at a price better than the specified limit, if possible.
A comprehensive overview of the term 'Order' in various contexts including commercial law, investments, legal frameworks, and trade.
An in-depth analysis of Overhang in real estate, securities, and commodities. Explore how substantial holdings impact market dynamics and their implications.
Overissue refers to the issuance of shares in excess of the number authorized by a corporation's charter. Preventing overissue is a crucial function of a corporation's registrar, often in collaboration with the transfer agent.
Explore the deceptive practice known as 'Painting the Tape' in financial markets, including its techniques, implications, and related regulations.
Partial delivery occurs when a broker does not transfer the full amount of a security or commodity as specified in a contract. This article explores the concept, implications, and related terms.
Detailed examination of Passive Investment Income (PII), including its definition, types, and relevance in the context of S Corporations and beyond.
A portfolio manager is a professional responsible for overseeing and managing the securities portfolio of individual or institutional investors. They may work for mutual funds, pension funds, profit-sharing plans, bank trust departments, insurance companies, or private investors.
Comprehensive coverage of the concept of Positive Carry in financial contexts, including definitions, examples, implications, and related terms.
A comprehensive look at private issues, commonly referred to as private placements, detailing their structure, benefits, types, and regulatory considerations.
An in-depth exploration of profit taking as a strategy employed by traders to secure gains by selling assets following a short-term price increase, and its impact on market movements.
Prospectus: Detailed Description of a Formal Written Offer to Sell Securities, including Plan for Proposed Business or Existing Enterprise.
A comprehensive look at Publicly Traded Partnerships (PTPs), their characteristics, regulatory requirements, and their role in the financial market.
A Red Herring is a preliminary prospectus filed by companies intending to go public. It provides essential information to potential investors but lacks specific details, such as the price range and number of shares being offered.
Refunding in Finance: process of selling a new issue of securities to obtain funds needed to retire existing securities. Also encompasses returning money to dissatisfied customers in Merchandising.
A Registered Representative (RR) is an employee of a stock exchange member broker/dealer who acts as an account executive for clients, providing advice on which securities to buy and sell. Licensed by the SEC and NYSE, RRs earn compensation through commission income.
An in-depth examination of registered securities, including their types, special considerations, historical context, and more.
A detailed examination of the role of a registrar in various sectors including education, real estate, and finance; covering their responsibilities, historical context, and application.
Understand the concept of registration across various contexts, from educational enrollment to securities issuance in compliance with Securities Acts.
Regular-Way Delivery (and Settlement) refers to the completion and finalization of a securities transaction at the office of the purchasing broker, typically on the third full business day following the transaction date, as mandated by the New York Stock Exchange.
Detailed overview of Regulation T, a Federal Reserve Board regulation that governs the maximum amount of credit that securities brokers and dealers may extend to customers for the initial purchase of regulated securities.
Regulation U is a rule of the Securities and Exchange Commission that governs the maximum amount of credit that banks may extend for the purchase of regulated securities. This entry explores its purpose, applications, and historical context.
Comprehensive Coverage of Restricted Securities, Including Definition, Types, Historical Context, Applicability, and Related Terms
An analysis of the term 'rich' in financial contexts, including its application to securities, interest rates, and its broader meaning as a synonym for wealth.
A round lot, typically 100 shares for stocks or a specific par value for bonds, represents the standard trading unit on major securities exchanges like the New York Stock Exchange.
A detailed overview of scrip, including its definition, historical context, types, and applications in various fields such as finance, securities, and general transactions.
Seasoned issues are securities issued by companies recognized for their established quality and enjoy high liquidity in the secondary market.
A detailed exploration of the term 'SEAT,' referring to membership on a securities or commodities exchange, typically bought and sold at market-driven prices.
An in-depth look at Secondary Distribution, a public sale of previously issued securities held by large investors, and its distinctions from Primary Distribution.
Detailed explanation of the Secondary Market where securities are traded post original issuance, encompassing exchanges and over-the-counter markets, as well as the trading of money market instruments.
Detailed explanation of Securities including types, historical context, examples, and key considerations.
An in-depth analysis of the Securities Act of 1933, detailing its importance as the first federal legislation to regulate securities markets in the United States, its requirements for registration and disclosure, and its anti-fraud provisions.
An in-depth look into organized, national exchanges where securities, options, and commodities futures contracts are traded by members for their own accounts and the accounts of customers.
The SEC is a U.S. federal agency tasked with regulating securities markets, preventing unfair practices, and maintaining market integrity for investors.
The Securities Exchange Act of 1934 governs the securities markets, prohibiting misrepresentation, manipulation, and other abusive practices while establishing the Securities and Exchange Commission (SEC).
The Securities Investor Protection Corporation (SIPC) is a nonprofit organization designed to protect investors against the loss of cash and securities in case of a brokerage firm's failure.
Comprehensive overview of securities markets, including organized exchanges and over-the-counter markets, their structure, functions, and significance.
Security Rating refers to the evaluation of credit and investment risk of a securities issue by commercial rating agencies, such as Moody's, Fitch Ratings, and Standard & Poor's.
A comprehensive guide on the phenomenon of selling securities under pressure to avoid further declines in prices, often observed in financial markets. Includes examples, historical context, and related terms.
A sudden and sharp decrease in security prices where stock or bond holders panic and offload their holdings drastically, often signaling the bottom of a bear market.
Detailed explanation of Selling Short, a strategy involving the sale of securities, commodities, or foreign currency not actually owned by the seller, aiming to buy them back at a lower price.
The settlement date is a crucial term in both real estate and securities markets, representing the date on which a transaction is finalized and ownership is transferred.
Understanding SHAKEOUT: A phenomenon in market conditions that eliminates weaker or marginally financed participants in an industry or securities market.
A comprehensive understanding of Short Position in commodities and securities, its implications, historical context, and practical applications.
An in-depth exploration of short sales in securities and real estate, outlining the processes, risks, and implications.
A comprehensive examination of Signature Guarantee, its importance, process, applications, and related elements in verifying the authenticity of signatures for financial transactions.
A comprehensive guide to understanding the concept of a Specialist, including definitions, types, historical context, examples, and its applicability in various fields.
Detailed explanation of stabilization in currency, economics, and securities. Understand the methods and practices employed to achieve economic and market stability.
A detailed explanation of the Stock Power Power of Attorney form, its purpose in transferring ownership of a registered security, and its use in financial transactions.
A stop order is an instruction to a broker to buy or sell a security once it reaches a specified stop price, aimed at protecting profits or limiting losses.
A term referring to securities held in the name of a broker or another nominee instead of the customer, facilitating easier transfer at the time of sale.
Subscription refers to an agreement to buy newly issued securities or to contribute money for a specific purpose.
Comprehensive look at 'Substitution' in Banking, Contract Law, Economics, Law, and Securities.
A 'Sweetener' refers to an added feature in a securities offering designed to make the securities more attractive to purchasers.
Explore the various definitions and contexts of the term 'Take' across general, legal, and securities applications.
Taking a flier refers to the act of engaging in highly speculative investments with a significant risk of loss.
A detailed exploration of takeout loans in real estate and securities, covering their definitions, types, uses, examples, and related terminologies.
Technical Analysis involves the examination of trading volume and price studies to predict price movements. By utilizing charts or computer programs, technical analysts aim to identify market trends.
A Technical Rally is a short-term rise in the price of securities or commodities futures within a broader declining trend, often stimulated by bargain-hunting investors or the identification of support levels.
A Ticker Symbol is a unique series of letters assigned to a security or stock for trading purposes on a particular stock exchange.
A comprehensive guide to understanding the meaning and applications of 'Tip' in various contexts, from general use to investments.
Tombstone Advertisement in the context of investment banking involves placing offers in newspapers, providing essential details about public offerings of securities, and listing underwriting group members. Its name is derived from its appearance.
