January 2019
Beginner
320 pages
9h 58m
English
Content preview from Securities Industry Essentials Exam For Dummies with Online Practice
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Index
Numbers
A
- absentee ballots, 62
- account records, 214
- account statements
- accounts, 151–161
- cash accounts, 157, 259, 269
- corporate accounts, 156
- day-trading accounts, 159, 236, 245
- discretionary accounts, 155–156
- identification and, 153–154
- inactive, 260, 270
- institutional accounts, 156
- joint accounts, 153
- margin accounts, 157–160, 269
- numbered, 153
- opening, 151–156
- partnership accounts, 156
- Patriot Act and, 153–154
- principal approving, 257
- single accounts, 154
- supervising, 148
- Telephone Act of 1991 and, 160–161
- trust accounts, 154–155
- unincorporated accounts, 156
- updating, 152
- accredited investors, 59, 185, 234, 244
- accretion, 78
- acompetitive offering, 55
- acquisitions, 64
- active accounts, 210
- active income, 188
- ADA (Americans with Disabilities Act), 11–12
- adjustable preferred stock, 71
- adjusted gross income (AGI), 189
- ADRs (American Depositary Receipts), 71, 235, 245
- ad-valorem taxes, 239, 248
- age of majority, 235, 245
- agency transactions, 215
- aggregate exercise price, 146
- AGI (adjusted gross income), 189
- AIR (assumed interest rate), 118
- all or none (AON), 56, 95, 183
- alternative minimum tax (AMT), 90
- alternative order, 184
- American Depositary Receipts (ADRs), 71, 235, 245
- Americans with Disabilities Act (ADA), 11–12
- AML (anti-money laundering), 218–220, 237, 247
- amortization, 78
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