http://www.nyse.com/glossary/Glossary.html
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1. Accrued Interest
2. Acquisition
3. Administrative Message
4. Agency Bonds
Securities issued by federal agencies or private entities, such as the Federal National Mortgage Association and the Federal Home Loan Bank Board, that are also known as government sponsored enterprises (“GSE”s). GSEs are not backed by the full faith and credit of the U.S. government.
5. Agency Cross
A trade in which a single broker acts as the agent for both the buyer and seller. This can occur when a member firm simultaneously receives a buy and a sell order from two different customers but for the same number of shares in the same stock. When these orders reach the floor broker, he can easily cross them and complete the transaction, but only after going to the designated trading post for that stock and announcing the bid in case another broker is prepared to offer a better price.
6. Agency Order
An order to buy or sell that does not originate from the actual customer for whose account it is executed and who continues to bear all the risk.
7. Agent
A person who buys or sells for the account and risk of another.Generally, an agent takes no financial risk and charges a commission for his services.
8. American Depositary Receipt (ADR)
A receipt that is issued by a U.S. depositary bank which represents shares of a foreign corporation held by the bank. Because ADRs are quoted in U.S. dollars and trade just like any other stock, they make it simple for investors to diversify their holdings internationally.
9. American Depository Share (ADS)
An American Depository Share (ADS) is a security issued by a U.S. depositary representing ownership interest in the deposited security of a foreign company. One ADS may represent a fixed number, or fraction, of deposited securities.
10. American Style Option
An option that may be exercised at any time between its purchase and its expiration date.
11. Annual Report
A publication that is issued yearly by all publicly held corporations and freely available to all shareholders. It reveals the company's assets, liabilities, revenues, expenses, and earnings for the past year, along with other financial data. This is often accompanied by a glossy presentation of the company's achievements and philosophy, but it is the accounting information that is required by law to allow investors to gauge the financial health of the company.
12. Arbitrage
A technique used by alert traders, now aided by sophisticated computer programs, to profit from minute price differences for the same security on different markets. For example, if a computer monitoring markets notices that ABC stock can be bought on a New York exchange for $10 a share and sold on a London exchange at $10.12, the arbitrageur or a special program can simultaneously purchase ABC stock in New York while selling the same amount it in London, thus pocketing the difference
13. Arbitration
Also known as Dispute Resolution, it is a low-cost alternative to settling disputes over securities transactions in the court system. FINRA administers this service
14. Assets
Property and items of value owned by a person or business. The primary classifications of assets are:
∙ Current assets: cash and other liquid instruments, including accounts receivable, that can be converted to cash within one year at maximum;
∙ Long term assets: plants, equipment, real estate and other capital assets, net of depreciation;
∙ Prepaid and deferred assets: expenditures for future costs or expenses, such as insurance, interest or rent, that are set up as assets to be amortized over an applicable period;
∙ Intangible assets: assets with a determined value, but which may not be scalable, such as goodwill, patents, copyrights, and brand name recognition
15. Assignment
The receipt of an exercise notice by an option writer (seller) that obligates him to sell (in the case of a call) or purchase (in the case of a put) the underlying security at the specified strike price
16. At-the-Money
An option is at-the-money if the strike price of the option is equal to the market price of the underlying security
17. Auction Market
Floor brokers and specialists interacting with quotes and orders on the floor of the New York Stock Exchange to obtain the best price possible for their customer
18. Audit Report
Often called the accountant's opinion, it is the statement of the accounting firm's work and its opinion of the corporation's financial statements, especially if they conform to the normal and generally accepted practices of accountancy
19. Audit Trail
Reconstructs trading by explicitly aligning all member firms involved in a specific trade
20. Auto Caps & Stops
Automated handling within the NYSE Display Book® of elections and executions where available of CAP, as well as systemic support for conversion and execution of CAP orders. This enables CAP to participate in automatic executions in the Hybrid Market
21. Automated Bond System (ABS)
ABS was replaced by NYSE Bonds in April 2007 and was the NYSE’s electronic bond trading platform since 1977. This system maintained, displayed, and matched orders, entered by member firms, in a strict price and time priority basis. ABS, primarily served retail bond investors and disseminated bond quotations and last sale price reports on a real-time basis (see NYSE Bonds System).
22. Automated Quotation
Reg. NMS term for fast quote. See Fast Quote
23. Automated Search And Match (ASAM)
Researches and cross-references publicly available information on individuals, corporations, and service organizations possibly connected to a particular trading situation
24. Automatic Executions
An electronic and automatic trade of orders to buy or sell without human intervention
25. Averages
There are various statistical tools for measuring the performance of securities markets. The most common are averages such as the Dow Jones Industrial Average. The prices of 30 industrial stocks are totaled and divided by a divisor that is intended to compensate for past stock splits and dividends. As a result, point changes in the average have only the vaguest relationship to dollar price changes in stocks included in the average
26. Averaging
see Dollar Cost Average
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27. Balance Sheet
A condensed financial statement showing the nature and amount of a company's assets, liabilities and capital on a given date. In dollar amounts the balance sheet shows that the company owned, what it owed, and the ownership interest in the company of its stockholders
28. Basis Point
One one-hundredth of one percentage point. Such a small measurement is especially helpful in expressing the often small but significant variations in bond yields. For example, the difference between a 12.83% yield and a 12.88% yield is 5 basis points
29. Bear
For generations, bulls and bears on Wall Street have referred to two decidedly different types of investors - the bulls being those who expect stock prices to rise, the bears being those who believe prices are about to decline
30. Bear Market
A term to describe a market of declining prices
31. Beta
Coefficient measuring a stock's relative volatility. The beta is a covariance of the stock in relation to the rest of the stock market. The Standard & Poor's 500 Stock Index has a beta coefficient of 1. Any stock with a higher beta is more volatile than the market, and any with a lower beta can be expected to rise and fall more slowly than the market. A conservative investor whose main concern is preservation of capital should focus on stocks with low betas, whereas one willing to take high risks in an effort to earn high rewards should look for high-beta stocks
32. Bid and Ask
Collectively called the "quote," the bid refers to the highest price a buyer is willing to pay for a stock, while the asked is the lowest price a seller will accept
33. Block
A large holding or transaction of stock. Generally 10,000 or more shares or any quantity worth over $200,000 is considered a block
34. Blue Chip
A company known nationally for the quality of its products or services, its reliability, and its ability to operate profitably in good and bad economic times
35. Blue Sky Laws
A popular name for various state laws enacted to protect the public against securities fraud. The term is believed to have originated when a judge ruled that a particular stock had about the same value as a patch of blue sky
36. Bond
A debt secured by a specific asset of the issuing corporation. The term bond, debenture and note are often used interchangeably. All three represent debt obligations of the issuing entity. The majority of these instruments are issued in multiples of $1,000 face amounts at a specified coupon, or interest rate, with a set maturity date at which time the obligation must be repaid. Many debt issues may be redeemed, or called, by the issuer prior to the maturity date if specified in the issue’s indenture
37. Book Entry
A method of registering securities, electronically, eliminating the need for physical certificates
38. Book Value
An accounting term. The book value of a stock is determined by adding up all of a company's assets and then deducting all of its debt and liabilities, including the liquidation price of any preferred issues. This sum is then divided by the number of common shares outstanding and the result is book value per common share. The book value of a company's assets or of a security may have little relationship to the market value
39. Booths
About 1,400 workspaces, each equipped with a computer system, around the perimeter of the Trading Floor where member firms and independent brokers receive orders
40. Borrowing
A way of acquiring necessary capital. One form of borrowing is when an individual or a company asks a bank to loan them a certain amount of money, over a certain period of time, and agrees to pay a certain amount of interest
41. Broker
see Floor Broker
42. Broker Agency Interest File
See NYSE e-QuoteSM
43. Broker Booth Support System
An order-management system designed exclusively for NYSE members, which enables member firms to quickly and efficiently process and manage their orders and selectively route orders via SuperDOT® directly to either the trading post, the broker's handheld computer, or the booths on the Trading Floor
44. Broker ITS (BITS)
Broker ITS - Pre-opening indications service received on trading floor at broker terminals. Copies of Pre-opening Indications delivered through the Broker to Booth System in relevant issues
45. Bull
For generations, bulls and bears on Wall Street have referred to two decidedly different types of investors - the bulls being those who expect stock prices to rise, the bears being those who believe prices are about to decline
46. Bull Market
A condition of the stock market when prices of stocks are generally rising
47. Buttonwood Agreement
A 1792 trade agreement banding the original 24 brokers in New York together into an investment community. The agreement was named for a Buttonwood tree that served as their informal meeting place on Wall Street
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48. Call
see Options
49. Call Option
A contract that gives the holder the right to buy the underlying stock at a specified price (the strike price) within a fixed period of time.
50. Callable Bond
A callable bond may be redeemed, by the issuer, before the maturity date at a price at or above the par value of the issue. An issuer’s ability to call a bond must be specified in the indenture (or contract terms) for the issue. If a bond is callable it may be called only at specified times and prices. Many callable bonds are issued with five or ten-year call protection, during which time, the issue may not be redeemed. Calls may be for the entire outstanding amount of the issue or a portion of the outstanding amount. See also Partial Call
51. Capital Gain
Profit earned on the sale of securities, either through dividends or by selling the securities at a higher price than they originally cost
52. Capital Securities
Typically a trust preferred security. A company establishes a trust, which sells trust preferred securities in a public offering. The proceeds from the sale of the trust preferred securities are used to purchase junior subordinated debentures of the parent company. The company makes interest payments to the trust, which are passed on as distributions to the trust preferred security holders. At maturity the trust returns the face amount of the trust preferred securities to the holders, using the principal of the debt securities received by the trust upon the simultaneous maturity of the debt securities. Trust preferred securities ?and the underlying debt securities ?typically have a long maturity (at least 30 years) subject to an earlier optional redemption by the company
53. Capital Stock
All shares representing ownership of a business, including common and preferred
54. Capitalization
Total amount of various securities issued by a corporation. Capitalization may include bonds, debentures, preferred and common stock, and surplus
55. Capped-Style Option
An option with an established profit cap or cap price. The cap price is equal to the option's strike price plus a cap interval for a call option or the strike price minus a cap interval for a put option. A capped option is automatically exercised when the underlying security closes at or above (for a call), or at or below (for a put), the option's cap price
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