- Industry: Financial services
- Number of terms: 73910
- Number of blossaries: 1
- Company Profile:
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Purchase of a large number of securities by a specialist for himself or to pass on to another floor trader or block buyer.
Industry:Financial services
Policies and guidelines that brokers must use to ensure that investors have the financial means to assume risks that they wish to undertake. These are enforced by the NASD and other self-regulatory organizations.
Industry:Financial services
Market in a stock made solely by the specialist, as no public orders, and henceforth no depth, exist in the market.
Industry:Financial services
Describing a strategy or trading philosophy in which the investor is operating in accordance with his(her) financial means and investment objectives.
Industry:Financial services
Choosing the particular stocks or bonds or other investment instruments to include in a portfolio.
Industry:Financial services
A specialist who maintains a stable market by acting as a principal and agent for other brokers in one or many stocks.
Industry:Financial services
A document that explains the fundamental features of an employer's defined benefit or defined contribution plan, including eligibility requirements, contribution formulas, vesting schedules, benefit calculations, and distribution options. ERISA requires that the SPD be easy to understand and that each participant receive a copy within 90 days of joining the plan.
Industry:Financial services
The first contribution by a venture capitalist toward the financing of a new business, often using a loan or purchase of convertible bonds or preferred stock. See: Mezzanine level and second round.
Industry:Financial services
Chronological record maintained by a specialist that includes the specialist's own inventory of securities, market orders to sell short, and limit orders and stop orders that other stock exchange members have placed with the specialist.
Industry:Financial services
