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Glossary

"Glossary" provides readers with industry words and terms and their meanings. Where possible, examples of the glossary terms are provided. Glossary is a work-in-progress, as new words, terms, and jargon constantly appear. Glossary is also a reference guide to terms used in articles and posts on this site and others.

Series 66
The Series 66 exam is required of financial professionals seeking to become investment advisors in the United States.

North American Securities Administrators Association (NASAA)
NASAA is an organization that regulates the Uniform Securities Act in the Unites States and other countries.

Debt-to-Equity Swap
This is the definition of the creation of a hybrid financial transaction known as debt-to-equity swap.

Portfolio Analysis
Portfolio Analysis definition

Asset Allocation
Asset Allocation Glossary Term

Diversification
Diversification Glossary Term

Variance
Variance Glossary Term

Beta Coefficient
Beta Coefficient

Financial Accounting
Financial Accounting Glossary Term

Attest
Attest Function Glossary Term

Estate Planning
Estate Planning Glossary Term

Technical Analysis
Fundamental Analysis Glossary Term

Fundamental Analysis
Fundamental Analysis Glossary Term

Investment Theory
Investment Theory Glossary Term

Trading Theories
Trading Theories Glossary Term

Hindenberg Omen
Hindenberg Omen Glossary Term

Stock Market Indicators
Stock Market Indicators

TRIN
TRIN Glossary Term

Exponential Moving Average
Exponential Moving Average Glossary Term

Dow Jones Industrial Average (DJIA)
Dow Jones Industrial Index Glossary Term

Broker-Dealer
Broker-Dealer Glossary Term

Direct Stock Purchase Plan
Direct Stock Purchase Plan Glossary Term

Financial Advisor
Financial Advisor Glossary Term

Book of Business
Book of Business Glossary Term

S&P 500
S&P 500 Glossary Term

Uniform Securities Act (USA)
The Uniform Securities Act provides regulation standards for securities at the state level in the Unites States.

Securities Act of 1933
The Securities Act of 1933 regulates securities in the United States at the federal level.

Securities Exchange Act of 1934
The Securities Exchange Act of 1934 regulates securities trading on the secondary market in the United States.

Series 7
Series 7 Glossary Term

Efficient Frontier
Efficient Frontier Glossary Term

Gold
Gold Glossary Term

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