Brokerages
Brokerages
- ABC agreement
- account
- account balance
- account executive
- active account
- adjusted debit balance
- advisory account
- agency
- agency basis
- agent
- all or any part
- all or none
- alternative order
- analyst
- anti-reciprocal rule
- any part of order
- asset management
- asset management account
- associate broker
- associate member
- automated customer account transfer (ACAT)
- Automated Order Entry System
- average equity
- average ticket
- back office
- balance
- bid wanted
- bid wanted in competition (BWIC)
- blanket recommendation
- Blue Sky Laws
- board broker
- boiler room
- bond broker
- broker
- broker price opinion (BPO)
- broker recommendation
- broker's call
- broker/dealer
- brokerage
- brokerage account
- brokerage allowance
- brokerage firm
- brokerage house
- Brokered CD
- bucketing
- bulk segregation
- bunching
- burn and churn
- buy limit order
- buy minus
- buy minus order
- buy order
- buy stop order
- call money market
- call money rate
- cancel order
- Capital Builder Account
- capital requirement
- carrying broker
- cash account
- central assets account
- central banker
- central limit order book
- Central Registration Depository
- Certificate of Authority
- CFA exam
- CFA Institute
- Charles Schwab
- Chinese Wall
- churning
- clearance
- clearing
- clearing broker
- clearing corporation
- clearing firm
- clearing margin
- clearing member
- clearinghouse
- client
- closed out
- code of procedure
- cold calling
- commercial broker
- commingling
- commission broker
- commission house
- commission-only compensation
- comparison
- compliance
- compliance department
- composite tape
- consolidated tape
- contingency order
- contingent commission
- contingent order
- contra broker
- contract broker
- conversion cost
- cooperating broker
- Corporate Securities Limited Representative
- correspondent
- countermand
- coverage
- coverage initiated
- CRD
- credit balance
- cross
- crossed trade
- crossing
- crowd
- custodial fee
- customer protection rule
- dark liquidity pools
- dark pools
- day loan
- day order
- dealer
- dealer bank
- dealer market
- dealing board
- dealing desk
- deep discount broker
- del credere agency
- demo account
- direct market access
- disclosure requirements
- discount broker
- discretionary account
- discretionary order
- discretionary proposition
- Division of Investment Management
- Division of Market Regulation
- Do Not Reduce
- drawdown
- dual trading
- either-or order
- electronic blue sheet
- eligible list
- excess margin
- exchange seat
- execution
- facilitation
- fail position
- fail to deliver
- fail to receive
- Federal Call
- federal register
- fictitious credit
- fidelity bond
- fill
- fill or kill
- Financial Industry Regulatory Authority
- firewall
- firm order
- five percent rule
- floor broker
- floor ticket
- floor trader
- folio
- Form T
- forward delivery
- forward premium (or discount)
- forward trading
- fractional discretion order
- freed up
- front running
- front-ending an order
- full service broker
- full-service brokerage
- general account
- general loan and collateral agreement
- General Mortgage Associate
- General Securities Representative Examination
- gilt-edged market maker
- give up
- Glass-Steagall Act
- going ahead
- Good Til Canceled
- good-this-month order (GTM)
- good-this-week order (GTW)
- great call
- GTC
- guaranteed introducing broker
- hard dollars
- Hart-Scott-Rodino Act of 1976
- held order
- hit the bid
- house
- house account
- house call
- house maintenance requirement
- house rules
- hypothecation agreement
- in-house
- inactive account
- independent broker
- independent introducing broker
- indirect holding system
- initial margin
- institutional broker
- institutional brokerage
- insurance intermediary
- insured account
- internalization
- interpositioning
- introducing broker
- Investment Company Act of 1940
- investment history
- investor's equity
- joint account
- Know Your Customer
- limit order
- limit order book
- limit order information system
- limit price
- limit-on-close order
- limited trading authorization
- liquidation
- listing broker
- LMV
- loan consent agreement
- local bill
- Long Market Value
- maintenance
- maintenance call
- maintenance fee
- make a market
- Maloney Act
- managed account
- margin
- margin account
- margin agreement
- margin buying
- margin call
- Margin Department
- margin level
- margin loan
- margin rate
- margin requirement
- margin security
- mark-to-market
- market if touched order
- market letter
- market maker
- market maker spread
- market not held order
- market on close order
- market on open order
- market order
- market out clause
- Market Performance Committee (MPC)
- markup
- matched book
- member firm
- member's rate
- memorandum account
- minimum maintenance
- missing the market
- money management
- money market account
- Multiple Listing Service
- NASD
- NASD Regulation
- Nasdaq
- National Association of Securities Dealers
- National Association of Securities Dealers Automated Quotations system
- National Introducing Brokers Association (NIBA)
- National Securities Clearing Corporation
- National Securities Trade Association
- negative obligation
- negotiated commission
- new account report
- niche player
- no limit order
- no quote
- nominee
- nominee account
- NSCC
- odd-lot dealer
- off-floor order
- Office of Compliance Inspections and Examinations (OCIE)
- on margin
- on the close order
- on-floor order
- online broker
- open order
- or better
- order
- order flow
- order ticket
- original margin
- pairing off
- partial delivery
- participate but do not initiate
- participatory note
- pass the book
- passbook
- passive market-making
- payment for order flow
- pc
- percentage order
- performance drag
- piggybacking
- Pink Sheets
- position
- Primary Dealer
- prime broker
- prime brokerage
- principal trade
- public limited partnership
- purpose loan
- Qualified Institutional Buyer (QIB)
- qualified institutional investor
- Qualified Special Representative Agreement (QSR)
- quote ticker
- rainmaker
- real-time gross settlement system
- real-time trade reporting
- receive against payment
- receive versus payment
- registered competitive market maker
- Registered Representative
- Regulation D
- Regulation G
- Regulation T
- Regulation U
- rehypothecation
- research department
- research note
- restricted account
- retail broker
- retail brokerage
- retail house
- reverse conversion
- rights offering
- rogue trader
- round trip commission
- Rule 10b-6
- Rule 144
- Rule 15c3-1
- Rule 19c3
- Rule 405
- Rules of Fair Practice
- running ahead
- same-day substitution
- SEC fee
- Securities Industry Association
- Securities Industry Automation Corporation (SIAC)
- Securities Investor Protection Corporation
- securities loan
- securities market
- segregated account
- selected dealer agreement
- selective disclosure
- sell limit order
- sell order
- sell out
- sell plus
- sell-side analyst
- selling away
- separately managed account
- Series 6
- Series 63
- Series 7
- settlement
- settlement agent
- share broker
- SIA
- significant order
- SIPC
- SOES
- soft commission arrangement
- soft dollars
- special arbitrage account
- special bid
- special bond account
- specialist
- specialist block purchase and sale
- specialist unit
- specialist's book
- split commission
- split order
- spread order
- squawk box
- stake
- standing
- step-out trading
- stock jockey
- stock loan
- stop order
- stop price
- stop-limit order
- stop-loss
- stopped stock
- street broker
- street name
- subject
- Suitability Rules
- sweep account
- tailgating
- take a position
- ticket
- time order
- tout
- trader
- trading authorization
- trading post
- trailing stop loss
- transfer
- transmittal letter
- twisting
- two dollar broker
- two-way market
- Uniform Securities Agent State Law Examination
- unlisted trading
- usable margin
- used margin
- value broker
- variation margin
- Wall Street analyst
- wash trade
- Williams Act
- wire house broker
- wrap fee