Series 7 Exam For Dummies, 4th Edition

Index

A

• account statements
  • active accounts, 291
  • defined, 215
  • inactive accounts, 291, 311, 329, 354, 371
  • mutual funds, 291, 310, 327
• accredited investors, 35, 62, 274, 311, 328
• accretion, 260–262
• accrual bonds, 93
• accrued interest, 84–86, 307, 324
• accumulation units, 161
• Achieving a Better Life Experience (ABLE) accounts, 115
• acid-test (quick) ratio, 229
• active (earned) income, 254
• additional bonds test, 104
• adjustable preferred stock, 73, 319, 337
• ad-valorem taxes, 102, 109, 320, 338
• advance refunding, 107
• advance-decline ratio, 234
• advertising rules and regulations, 115, 119, 121, 165, 281, 314, 331, 361, 378
• advisory accounts, 276
• aftermarket (secondary market), 238
• age-based funds, 151
• agency securities, 91–92
• agency transactions, 242, 296
• agents (brokers), 241–242
• aggressive growth company, 32
• aggressive investment strategy, 224
• all-or-none (AON) orders, 56, 112, 247, 316, 334
• alpha measurement, 223
• alternative minimum tax (AMT), 103, 255
• alternative orders, 247
• alternative trading system (ATS), 251
• American Depositary Receipts (ADRs), 74, 313, 330
• American style-options, 208, 210
• Americans with Disabilities Act (ADA) candidates, 11
• amortization, 262
• annual reports, 233
• annuities. See also names of specific annuities
  • death benefit, 162
  • early withdrawal penalty, 162
  • fees, 161
  • mortality guarantee, 162
  • overview, 159
  • pay-in phase, 161
  • payout options, 162
  • surrender value, 163
• anti-dilution, 76
• antifraud provisions, 64
• arbitrage, 90, 243
• assets, 222–223, 228
• assumed interest rate (AIR), ...