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| This dictionary contains: 24549 financial terms |
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Exempt securities
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Exempt securitiesInstruments exempt from the registration requirements of the Securities Act of 1933 or the margin requirements of the SEC Act of 1934.
RELATED TERMS--------------------------------------
Instruments
Financial securities, such as money market instruments or capital market instruments.
Registration
In the securities market describes process set up pursuant to the Securities Exchange Acts of 1933 and 1934 whereby securities that are to be sold to the public are reviewed by the SEC.
Securities
Saleable papers, traded on stock exchanges, that yield an income (dividend, interest, etc.).
Margin
1) Borrowed money that is used to purchase securities, practice referred to as 'buying on margin'. 2) The amount of equity contributed by a customer as a percentage of the current market value of the securities held in a margin account. 3) In a general business context, the difference between a product's (or service's) selling price and the cost of production. 4) The portion of the interest rate on an adjustable-rate mortgage that is over and above the adjustment-index rate.
SIMILAR TERMS--------------------------------------
Exempt list
Sophisticated investors, usually institutional investors, who are considered informed enough that new issues can be marketed to them without a prospectus.
Exemption
Direct reductions from gross income allowed by the IRS.
PREVIOUS AND NEXT TERMS--------------------------------------
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
Sophisticated investors, usually institutional investors, who are considered informed enough that new issues can be marketed to them without a prospectus.
Exempt securities
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.
Exercise price
The price at which the security underlying an options contract may be bought or sold.
RELATED TERMS--------------------------------------
Instruments
Financial securities, such as money market instruments or capital market instruments.
Registration
In the securities market describes process set up pursuant to the Securities Exchange Acts of 1933 and 1934 whereby securities that are to be sold to the public are reviewed by the SEC.
Securities
Saleable papers, traded on stock exchanges, that yield an income (dividend, interest, etc.).
Margin
1) Borrowed money that is used to purchase securities, practice referred to as 'buying on margin'. 2) The amount of equity contributed by a customer as a percentage of the current market value of the securities held in a margin account. 3) In a general business context, the difference between a product's (or service's) selling price and the cost of production. 4) The portion of the interest rate on an adjustable-rate mortgage that is over and above the adjustment-index rate.
SIMILAR TERMS--------------------------------------
Exempt list
Sophisticated investors, usually institutional investors, who are considered informed enough that new issues can be marketed to them without a prospectus.
Exemption
Direct reductions from gross income allowed by the IRS.
PREVIOUS AND NEXT TERMS--------------------------------------
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
Sophisticated investors, usually institutional investors, who are considered informed enough that new issues can be marketed to them without a prospectus.
Exempt securities
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.
Exercise price
The price at which the security underlying an options contract may be bought or sold.
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This dictionary contains 24549 terms.
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