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- 1040 look up translate image
- The standard IRS form for individual tax returns.
- 10K look up translate image
- A audited report of a corporation's year-end financial results and operations filed annually with the SEC. The report contains information related to the company's financial situation, legal liabilities and future plans. Shareholders may obtain a free copy of the 10K from the corporation.
- 10Q look up translate image
- An unaudited financial report submitted every quarter to the SEC by public companies, revealing the company's financials and other relevant information.
- 12B-1 FEE look up translate image
- A mutual fund expense levied to help reimburse a fund's sponsor for distribution costs and commissions.
- 30-DAY WASH RULE look up translate image
- IRS rule prohibiting a taxpayer from realizing a loss on an investment then repurchasing the same investment within 30 days after the sale date. This rule discourages investors from selling at a loss for the tax benefit.
- 52-WEEK HI/LO look up translate image
- The highest and lowest prices a security was traded in the past year.
- 529 SAVINGS PLAN look up translate image
- State-operated plan allowing individuals to save for college by making tax-advantaged contributions to an investment account.
- ABANDON look up translate image
- To not to exercise or sell an option. An investor usually chooses abandonment when the option is out-of-the-money on the expiration date.
- ABOVE PAR look up translate image
- The current price above face value. This generally occurs when the coupon paid on the bond is higher than the market interest rate for similar securities. If the investor purchased the bond above par, he/she will suffer a capital loss upon the Bond's maturity since it will only be redeemed at face value.
- ACCOUNTS PAYABLE look up translate image
- The company's current liability owned to creditors for goods and services obtained during the normal course of business.
- ACCOUNTS RECEIVABLE look up translate image
- Current assets owed to the company for services or goods sold on credit.
- ACCRETED INTEREST look up translate image
- The difference between par value of a zero coupon security and its original purchase price. Also known as original issue discount.
- ACCRUAL BOND look up translate image
- A bond which is sold at a deep discount to its face value, and pays no coupons. Accrual bonds tend to be illiquid, and very sensitive to changes in interest rates. Although there is no actual cash flow of interest, the imputed interest on an accrual bond is taxable as it accrues under U.S. tax laws.
- ACCRUED INTEREST look up translate image
- The amount of interest the buyer owes the seller on transactions of fixed income securities, such as most bonds and notes.
- ACCUMULATION BOND look up translate image
- A bond sold at a price below its face value and can be redeemed at its face value when matured. Also called discount bond.
- ACQUISITION look up translate image
- The act of acquiring control of another corporation, by either stock purchase or exchange. This can be achieved either through hostile or friendly means.
- ACTIVE MANAGEMENT look up translate image
- The constant supervision of a portfolio's holdings to maximize gains. Active management by fund managers is one of the benefits of a mutual fund.
- ADDRESS look up translate image
- The headquarters address of the company as provided in the latest SEC filings.
- ADR look up translate image
- See American Depositary Receipt.
- ADS look up translate image
- See American Depositary Share.
- ADVANCED OPTION look up translate image
- Complex option strategies. See Spread Order, Straddle, Strangle, Buy/Write, Sell/Write, and Unwind.
- ADVISER look up translate image
- The firm primarily responsible for a fund's day-to-day operation.
- AFTER-HOURS TRADING look up translate image
- The buying and selling securities when the major markets are closed. After-hours trading was once a privilege of institutional investors, individual investors can now participate. Stocks are traded after hours on ECNs, which match buyers and seller with a computer system in order to execute trades.
- AFTERMARKET look up translate image
- Markets in which an investor purchases a security from other investors rather than the issuer, subsequent to the original issuance in the primary market. Also called secondary market.
- AGENCY SECURITY look up translate image
- The bills, notes, and bonds issued by agencies of the federal government.
- AGGRESSIVE GROWTH FUNDS look up translate image
- Mutual funds that focus on small-company stocks, the fund's high level of risk is justified by potential for accelerated earnings.
- ALL-OR-NONE (AON) look up translate image
- The type of order instructing the execution of the entire order quantity at the stated price (or better), or none of it. This prevents partially filled orders. The difference between All-or-None and Fill-or-Kill is that the AON order is left open if the entire order quantity cannot be filled, whereas the FOK order will be cancelled.
- ALPHA look up translate image
- The measure of a fund's risk-adjusted return. Alpha is derived by compares the fund's actual returns and the expected returns as determined by its level of risk (beta). A positive alpha indicates the fund has performed better than expected, while a negative alpha indicates the fund has underperformed.
- AMERICAN DEPOSITARY RECEIPT (ADR) look up translate image
- The negotiable certificates held in an U.S. bank representing shares of a foreign stock traded on an U.S. stock exchange.
- AMERICAN DEPOSITARY SHARE (ADS) look up translate image
- The shares issued under an ADR agreement, which is actually traded.
- AMERICAN STOCK EXCHANGE (AMEX) look up translate image
- A major stocks and options exchange located at 86 Trinity Place, New York.
- AMERICAN-STYLE OPTION look up translate image
- An option contract that can be exercised at any time between the date of purchase to expiration. Most exchange-traded options are American-style.
- AMEX look up translate image
- See American Stock Exchange
- AMORTIZATION look up translate image
- The gradual elimination of a liability, in regular payments over a specified period of time. Such payments must be sufficient to cover both principal and interest.
- ANNUAL PERCENTAGE RATE (APR) look up translate image
- The total cost of a loan per year, including both interest charges and most or all fees.
- ANNUAL PERCENTAGE YIELD (APY) look up translate image
- The total income an investment earns per year. The APY generally represents the total earnings of a cash account such as a money market fund or savings account, or be part of the returns from stocks and bonds, which can also experience capital growth.
- ANNUAL REPORT look up translate image
- The audited report of a corporation's year-end financial results and operations filed annually with the SEC. The report contains information on the company's financial condition, legal liabilities and future plans. Shareholders may obtain a free copy of the Annual Report from the corporation.
- ANNUAL REPORT (MUTUAL FUND) look up translate image
- A report that gives an overview of a fund's performance and operations. SEC requires funds to distribute the report to shareholders at least semiannually.
- ANNUALIZED RETURNS look up translate image
- The return on an investment over a specified number of years, calculated as what an investor would have received each year if the cumulative return were distributed evenly over each year within the specified time period.
- AON look up translate image
- See All-or-None.
- APPRECIATION FUNDS look up translate image
- Types of funds that invest in stocks whose value is expected to increase significantly.
- APR look up translate image
- See Annual Percentage Rate.
- APY look up translate image
- See Annual Percentage Yield.
- ARBITRAGE look up translate image
- Profiting from differences in the price of a security that is traded on multiple markets.
- ARMS INDEX - TRADING INDEX (TRIN) look up translate image
- A market indicator used in technical analysis, calculated as follows: Arms Index = ((# of advancing issues / # of declining issues) / (Total up volume / Total down volume)). A value of less than 1 is considered bullish, greater than 1 bearish.
- ARREARAGE look up translate image
- The overdue interest or dividends of a bond or preferred share.
- ASIAN FUNDS look up translate image
- A fund that targets primarily the stocks of companies located in Asia. These funds appeal to investors who are bullish on the potential of Asian companies, and want to capitalize on that growth.
- ASIAN OPTION look up translate image
- An option whose payoff depends on the average value of an underlying security over a specified period.
- ASK (ASKED PRICE) look up translate image
- The lowest round lot price at which a broker will sell a security.
- ASK PRICE (MUTUAL FUNDS) look up translate image
- Also known as the offering price, the ask price is the price at which a mutual fund's shares can be bought. The ask price is calculated by adding a fund's current net asset value per share to its sales charges, if any.
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