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Definition of SEC
The securities and Exchange Commission, the primary federal regulatory agency of the securities
See securities and Exchange Commission.
A security that is collateralized by loans, leases, receivables, or installment contracts
The Treasury and federal agencies are moving to a book-entry system in which securities are not represented by engraved pieces of paper but are maintained in computerized records at the
A security that can be converted into common stock at the option of the security holder,
A statistical methodology applied to a set of firms at a particular point in time.
IOUs created through loan-type transactions - commercial paper, bank CDs, bills, bonds, and
A financial security, such as an option, or future, whose value is derived in part from the
Non-interest-bearing money market instruments that are issued at a discount and
security that grants the security holder the right to exchange the security for the
Instruments exempt from the registration requirements of the securities Act of 1933 or the
securities issued by corporations and agencies created by the U.S. government,
A nonnegotiable debt security that can be redeemed at some fixed price or according to
Negotiable U.S. Treasury securities.
The security to which a warrant is attached.
A convertible security whose optioned common stock is trading in a middle range, causing
spread The spread between the interest rate offered in two sectors of the bond market for
Intramarket sector spread
The spread between two issues of the same maturity within a market sector. For
Manufactured housing securities (MHSs)
Loans on manufactured homes - that is, factory-built or
The classifications of bonds by issuer characteristics, such as state government, corporate, or utility.
Monthly income preferred security (MIP)
Preferred stock issued by a subsidiary located in a tax haven.
Mortgage pass-through security
Also called a passthrough, a security created when one or more mortgage
Mortgage-Backed Securities Clearing Corporation
A wholly owned subsidiary of the Midwest Stock
securities backed by a pool of mortgage loans.
A pool of fixed-income securities backed by a package of assets (i.e. mortgages)
An instrument such as a stock or bond for which payments depend only on the financial
Project loan securities
securities backed by a variety of FHA-insured loan types - primarily multi-family
Public Securities Administration (PSA)
The trade association for primary dealers in U.S. government
Second pass regression
A cross-sectional regression of portfolio returns on betas. The estimated slope is the
1) Procedure for selling blocks of seasoned issues of stocks.
The market where securities are traded after they are initially offered in the primary
Refers to a group of securities that are similar with respect to maturity, type, rating, industry, and/or coupon.
United States Department of Treasury regulations governing transfer prices.
Debt that, in the event of default, has first claim on specified assets.
Securities & Exchange Commission
The sec is a federal agency that regulates the U.S.financial markets.
The process of creating a passthrough, such as the mortgage pass-through security, by which
Piece of paper that proves ownership of stocks, bonds and other investments.
Security characteristic line
A plot of the excess return on a security over the risk-free rate as a function of
Security deposit (initial)
Synonymous with the term margin. A cash amount of funds that must be deposited
Security deposit (maintenance)
Related: Maintenance margin security market line (SML). A description of
Security market line
Line representing the relationship between expected return and market risk.
Security selection decision
Choosing the particular securities to include in a portfolio.
Stripped mortgage-backed securities (SMBSs)
securities that redistribute the cash flows from the
The municipal bond market where state and local governments raise funds. Bonds issued
securities issued by the U.S. Department of the Treasury.
Options: the security subject to being purchased or sold upon exercise of an option
Debt that does not identify specific assets that can be taken over by the debtholder in case of default.
Variable price security
A security, such as stocks or bonds, that sells at a fluctuating, market-determined price.
Securities and Exchange Commission (SEC)
The federal agency that
The market where securities are exchanged between investors.
Security Market Line
A graph illustrating the equilibrium relationship between the
A security that pays a specified cash flow over a
An easily traded investment, such as treasury bills, which is
Either the collateral on a loan, or some type of equity ownership or debt, such
security paying dividends or interest that vary with short-term interest rates.
Market in which already issued securities are traded among investors.
Debt that has first claim on specified collateral in the event of default.
Securities and Exchange Commission (SEC)
Federal agency responsible for regulation of securities markets in the United
security market line
Relationship between expected return and beta.
New security issues are first sold directly to the public by the issuing firm or the government. After this initial sale, the owners of the securities can trade them among themselves or others; such activity is said to take place on the secondary market.
A general term for stock, bonds, or other other financial assets.
Employee Retirement Income Security Act of 1974 (ERISA)
A federal Act that sets minimum operational and funding standards for employee benefit
Section 83(b) Election
The decision by an employee to recognize taxable income
Self-Employment Contributions Act (SECA)
A federal Act requiring self-employed business owners to pay the same total tax rates for Social security and
Social Security Act of 1935
A federal Act establishing Old Age and Survivorâ€™s
A debt or equity security not classified as a held-to-maturity security or a trading security. Can be classified as a current or noncurrent investment depending on the intended holding period.
A security representing a debt relationship with an enterprise, including a government
An ownership interest in an enterprise, including preferred and common stock.
A debt security for which the investing entity has both the positive
A debt or equity security for which there is no posted price or bidand-
A share or an interest in a property or an enterprise such as a stock certificate or a bond.
Securities and Exchange Commission (SEC)
A federal agency that administers securities legislation,
The pooling and repackaging of similar items into marketable securities that can be sold to investors.
A debt or equity security bought and held for sale in the near term to generate income on short-term price changes.
Bond or note secured by assets of company.
In investment terminology, the market in which securities are traded after they have been issued by corporations. When a company sells a new issue of securities, the transaction is considered a "primary market transaction".
Collateral offered by a borrower to a lender to secure a loan.
The monetary value placed on security by a lender in determining the extent to which it can make loans against such security.
secured loan or line of credit
A lump sum of funds (loan), or a revolving source of credit with a pre-established limit (line of credit), for which the customer must provide collateral.
Federal agency securities.
Mortgage pass-through securities whose principal and interest payments are
An arrangement whereby a security issue is canceled if the underwriter is unable
securities certificates issued in the U.S. by a transfer agent acting on behalf of the foreign
American Stock Exchange (AMEX)
The second-largest stock exchange in the United States. It trades
Yearly record of a publicly held company's financial condition. It includes a description of the
The simultaneous buying and selling of a security at two different prices in two different markets,
A dealer's price to sell a security; also called the offer price.
Categories of assets, such as stocks, bonds, real estate and foreign securities.
The receipt of an exercise notice by an options writer that requires the writer to sell (in the case
An option is at-the-money if the strike price of the option is equal to the market price of the
The tendency of stocks preferred by the dividend discount model to share certain equity
A section of an annual report containing the auditor's opinion about the veracity of the
The average time to maturity of securities held by a mutual fund. Changes in interest rates
Brokerage house clerical operations that support, but do not include, the trading of stocks and
1) When bond yields and prices fall, the market is said to back-up.
A plan by U.S. Treasury secretary James Baker under which 15 principal middle-income debtor
A short-term credit investment created by a non-financial firm and guaranteed by a
A strategy in which the maturities of the securities included in the portfolio are concentrated
Regarding a futures contract, the difference between the cash price and the futures price observed in the
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