INVESTORS AND TRADING GLOSSARY A TO Z
Successful investing is anticipating the anticipations of others.
John Maynard Keynes
In this business, if you’re good, you’re right six times out of ten. You’re never going to be right nine times out of ten.
A synthetic dictionary of investors and financial terms may help traders, and above all non-professional ones, to have a good knowledge of stock market vocabulary, stock market analysis, and it’s conditions. Then if you want to consult a complete and full glossary of this kind, that can be made up by more than 8,000 terms, you can visit the following links:
www.nasdaq.com/investing/glossary/ ; www.tradingglossary.com ; www.traders.com/Documentation/ ; www.investopedia.com/dictionary/ ;
Account Executive – A stockbroker by any other name. More specifically, the term refers to a NASD-registered securities representative, but also is used generically to describe almost any salesperson.
Accredited Investor – Wealthy investors in an, generally maintaining a net worth of at least $1 million or earning at least $200,000 per year, with the privilege of investing in
risky private stock sales and other securities. The term itself is defined under Regulation D of the Securities Act.
Accumulation – Term used by technical analysts describing a stock whose price is holding steady, thus implying that investors are willing purchase or “accumulate” shares at this price.
Active Market – Term associated with stocks or other securities that trade with a relatively high measure of liquidity, typically exhibited in high volume and narrow spreads; in an active market. It is also a matter of opinion, as one man’s active market may be another’s illiquid market.
Affiliate – Any person directly or indirectly holding 10% or more of a corporation’s outstanding shares — typically directors, elected officers and immediate family members. As such, they are subject to reporting stock sales and purchases and are restricted from making certain transactions in the company’s stock.
Aftermarket – (1) Sometimes called “secondary market,” this term refers to the trading in a security after its initial public offering. (2) The term may also be used in reference
to trading after regular market hours.
Agency – (1) Term used to describe a security issued by a U.S. Government agency; or (2) a stockbroker buying or selling a security without taking a financial risk (i.e. making a market). In the latter case, the broker simply handles the transaction between the buyer and seller for a commission.
All or None – (1) Term used to describe a trading order instructing the broker to buy or sell the entire amount of the order in one transaction or not at all; or (2) a condition where an underwriter must sell every share or unit in a security’s offering or the issuing company has the right to cancel the entire offering — in modern underwritings, this condition is seldom imposed.
American Stock Exchange (AMEX) – Founded in 1921 and located in New York, it’s the third-largest U.S. stock exchange. While minimum listing requirements are similar to those of the more popular Nasdaq stock market, shares trade on the AMEX in the same “auction” manner utilized by the much larger New York Stock Exchange as opposed to Nasdaq’s “market making” methods. In recent years, the AMEX exchange has lost prominence in stock listings and trading volume to both Nasdaq and the NYSE. However, the AMEX has enjoyed gains in trading “derivative” securities such as options and futures contracts.
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