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| This dictionary contains: 24549 financial terms |
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Exempt list
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Exempt listSophisticated investors, usually institutional investors, who are considered informed enough that new issues can be marketed to them without a prospectus.
RELATED TERMS--------------------------------------
Without
Indicates a one-way market if 70 were bid in the market and there was no offer, the quote would be "70 bid without.".
Prospectus
Document inviting -the public to buy shares, stating the terms of sale and giving information about the company.
SIMILAR TERMS--------------------------------------
Exempt securities
Instruments exempt from the registration requirements of the Securities Act of 1933 or the margin requirements of the SEC Act of 1934.
Exemption
Direct reductions from gross income allowed by the IRS.
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Exclusionary self-tender
A firm's offer to buy a given amount of its own stock while excluding targeted stockholders.
Exclusive
In the context of general equities, having sole possession of the customer order-indication; not in competition with other dealers.
Execution
The process of completing an order to buy or sell securities. Once a trade is executed, it is reported by a Confirmation Report; settlement (payment and transfer of ownership) occurs in the U.S. between one (mutual funds) and three (stocks) days after an order is executed.
Execution costs
The difference between the execution price of a security and the price that would have existed in the absence of a trade.
Executor
An individual or trust institution nominated in a will and appointed by a court to settle the estate of a deceased person.
Exempt list
Exempt securities
Instruments exempt from the registration requirements of the Securities Act of 1933 or the margin requirements of the SEC Act of 1934.
Exemption
Direct reductions from gross income allowed by the IRS.
Exercise
To implement the right of the holder of an option to buy (in the case of a call) or sell (in the case of a put) the underlying security.
Exercise limit
Cap on the number of option contracts of any one class of contract that can be exercised within a five-day period contract.
Exercise notice
A broker's notification from a client who wants to exercise a right to buy or sell (depending on the type of contract) the underlying security of the option contract.
RELATED TERMS--------------------------------------
Without
Indicates a one-way market if 70 were bid in the market and there was no offer, the quote would be "70 bid without.".
Prospectus
Document inviting -the public to buy shares, stating the terms of sale and giving information about the company.
SIMILAR TERMS--------------------------------------
Exempt securities
Instruments exempt from the registration requirements of the Securities Act of 1933 or the margin requirements of the SEC Act of 1934.
Exemption
Direct reductions from gross income allowed by the IRS.
PREVIOUS AND NEXT TERMS--------------------------------------
Exclusionary self-tender
A firm's offer to buy a given amount of its own stock while excluding targeted stockholders.
Exclusive
In the context of general equities, having sole possession of the customer order-indication; not in competition with other dealers.
Execution
The process of completing an order to buy or sell securities. Once a trade is executed, it is reported by a Confirmation Report; settlement (payment and transfer of ownership) occurs in the U.S. between one (mutual funds) and three (stocks) days after an order is executed.
Execution costs
The difference between the execution price of a security and the price that would have existed in the absence of a trade.
Executor
An individual or trust institution nominated in a will and appointed by a court to settle the estate of a deceased person.
Exempt list
Exempt securities
Instruments exempt from the registration requirements of the Securities Act of 1933 or the margin requirements of the SEC Act of 1934.
Exemption
Direct reductions from gross income allowed by the IRS.
Exercise
To implement the right of the holder of an option to buy (in the case of a call) or sell (in the case of a put) the underlying security.
Exercise limit
Cap on the number of option contracts of any one class of contract that can be exercised within a five-day period contract.
Exercise notice
A broker's notification from a client who wants to exercise a right to buy or sell (depending on the type of contract) the underlying security of the option contract.
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This dictionary contains 24549 terms.
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