GLOSSARY

Investment Terms

Other Investment Terms

Large Cap, Mid Cap, Small Cap

12b-1 Fees 

401(k) Plan

403(B) Plan

529 College Savings Plan

8-K

Account Fee

Accrued Interest

Advance Fee Fraud

Affinity Fraud

After-Hours Trading

Annual Meeting

Annual Report (10K)

Annual Return

Annuity

Ask Price

Asset Allocation

Asset Classes

Back-End Load 

Basis Point

Bear Market

Beneficial Owner

Bid Price

Board of Directors

Bond

Bond Swap 

Bonus Credits

Broker

Broker Vote

Bull Market

Buying Long

Callable CDs

Cash

CD Call Period

Classes

Closed-End Fund

College Savings Plan 

Commission

Conversion

Convertible Bond

Corporate Governance

Corporate Reports

Coupon

Coupon Payment

Coupon Rate

Creation Unit

Credit Rating Agencies

Current Yield

Day Trading

Debentures

Default

Deferred Annuity

Deferred Sales Charge

Defined Benefit Plan

Defined Contribution Plan

Derivatives

Disclosure

Discount Note

Distribution Fees

Diversification

Dividend

Early Withdrawal

Earnings Per Share

Enrollment Fee

Exchange Fee

Expense Ratio 

Financial Product

Fixed Annuity

Fixed-Rate Bond

Floating-Rate Bond

Floor

Foreign Corrupt Policies Act

Foreign Exchange

Foreign Exchange Markets

Free Look Period

Front-End Load

Future Value

Futures Contract

Future Market

General Obligation Bond

Good-Til-Cancelled Order 

High-Yield Bond

High-Yield Investment Programs 

Immediate Annuity

Index Fund 

Internet Fraud

Investment Advisor

Investment Company

Investment-Grade Bond 

Issuer

Lifecycle Funds 

Limit Orders 

Load 

Lost and Stolen Securities Program 

Maintenance Fee

Management Fee

Margin Account

Market Capitalization

Market Index

Market Maker

Market Order

Merger

Money Markets

Mortgage-Backed Securities (MBS)

Mutual Fund

No-Load Fund

Offering Document

Open-End Company 

Operating Expenses 

Option

Pension

Ponzi Scheme

Premium 

Prepaid Tuition Plan

Prepayment

Prepayment Risk

Price-Earnings Ratio

Primary Market

Prime Bank Fraud

Product Description

Prospectus

Proxy Statement

Proxy Voting

Public Company

Pump and Dump

Purchase Fee

Purchasing Power

Pyramid Scheme

Quarterly Reports (10Q)

Real Estate Investment Trust (REIT)

Real Return

Rebalancing

Redemption Fee

Registered Owner 

Revenue Bond

Roth 401(k) Plan 

Sales Charge

Savings

Save-On-Pay Vote

Secondary Market

Section 1035

Security

Senior Bond

Shareholder

Shareholder Service Fee

Short Sale

Statement of Additional Information (SAI)

Stock

Stock Market

Stock Quote

Stock Split

Stop Order

Surrender Charge

Target Date Fund

Tender Offer

Ticker Symbol

Time Horizon

Total Annual Fund Operating Expense

Trustee

Unit Investment Trust (UIT)

Variable Annuity

Variable-Rate CD

Yield

Yield Curve

 

 



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