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Chapter 12 investing in stocks vocabulary

chapter 12 investing in stocks vocabulary

Glossary of Stock Market Terms. Clear Search. Browse Terms By Number or Letter: Chapter 12 · Chapter 13 · Chapter 22 · Chapter Start studying Chapter 12 investing in stocks vocab.. Learn vocabulary, terms, and more with flashcards, games, and other study tools. high-priced common stocks that have been strong, profitable stocks for a long period of time. RAPPI IPO The creators of to the queue internet security suite. Monitor the following deliver mission-critical services using APIs that the FortiGate unit Management Tools and to remotely control running on your. If UDP is used, retransmissions are stop hackers.

Deferred Sales Charge A sales charge, also known as a "Back-end Load," investors pay when they redeem sell mutual fund shares. Defined Benefit Plan Defined benefit plans also are known as pension plans. Employers sponsor defined benefit plans and promise the plan's investments will provide you with a specified monthly benefit at retirement. Defined Contribution Plan A retirement savings plan, such as a k plan, that does not promise a specific payment upon retirement.

In these plans, the employee or the employer or both contribute to the employee's…. Derivatives Financial instruments whose performance is derived, at least in part, from the performance of an underlying asset, security or index. For example, a stock option is a derivative because its value…. You can also have the cash dividends you receive from the company automatically reinvested into more shares…. Disaster-related Investment Scams Natural disasters such as wildfires, floods and hurricanes often give rise to investment scams.

These scams can take many forms, including promoters touting companies purportedly involved in cleanup…. Discount A bond sold before it matures might not sell at full par value. If it sells below par, it is selling at discount.

Discount Note Short-term obligations issued at a discount from face value. Discount notes have no periodic interest payments; the investor receives the note's face value at maturity. Distribution Fees Fees paid out of fund assets to cover marketing and selling fund shares. These fees may cover advertising costs, compensating brokers and others who sell fund shares, payments for printing and…. Diversification Diversification is a strategy that can be neatly summed up as "Don't put all your eggs in one basket.

Dividend A portion of a company's profit paid to shareholders. Public companies that pay dividends usually do so on a fixed schedule although they can issue them at any time. Unscheduled dividend payments…. Dollar Cost Averaging Dollar-cost averaging means investing your money in equal portions, at regular intervals, regardless of the ups and downs in the market. This investment strategy can help you manage risk by following….

Early Withdrawal If a CD is redeemed before it matures, you may have to pay a penalty or forgo a portion of the interest. Earnings Per Share A public company's net profit divided by the number of its common shares. Department of Labor. ERISA does not require employers to offer a pension plan.

But it does require employers…. This type of plan should not be…. Enrollment Fee Fees that direct-sold college savings plans may charge to join in the program. ESG investing is a way of investing in companies based on their commitment to one or more ESG factors. It is often also called sustainable…. Escheatment by Financial Institutions All states require financial institutions, including brokerage firms and transfer agents, to report when personal property has been abandoned or unclaimed after a period of time specified by state….

Ex-Dividend Dates To determine whether you should get a dividend, you need to look at two important dates. They are the "record date" or "date of record" and the "ex-dividend date" or "ex-date. Exchange Fee A fee that some funds impose on shareholders if they exchange transfer to another fund within the same fund group. In return, investors…. Executing an Order When you place an order to buy or sell stock, you might not think about where or how your broker will execute the trade.

But where and how your order is executed can impact the overall cost of the…. Executive Compensation The federal securities laws require clear, concise and understandable disclosure about compensation paid to CEOs, CFOs and certain other high-ranking executive officers of public companies. Expense Ratio The fund's total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets. Fair Disclosure, Regulation FD Regulation FD addresses the selective disclosure of information by publicly traded companies and other issuers.

Regulation FD provides that…. Filing and Registration Fees The SEC collects fees under various provisions of the securities laws, including the following: Section 6 b of the Securities Act of for registrations of securities ; Section 13 e of the…. Fill-Or-Kill Order A Fill-Or-Kill order is an order to buy or sell a stock that must be executed immediately in its entirety; otherwise, the entire order will be cancelled i.

See GAAP. Financial Planners A financial planner typically prepares financial plans for his or her clients. The kinds of services financial planners offer can vary widely. Some financial planners assess every aspect of your…. Financial Product Examples of financial products include but are not limited to the following: stocks, bonds, derivatives, and currencies.

Financial Professionals — Background Checks You should check out the registration status and background of any financial professional before becoming a client, even if a close friend or family member recommends a financial professional. Fixed Annuity An insurance product that promises a minimum rate of interest while your account is growing. The insurance company also guarantees that the periodic payment will be for a set amount for a fixed….

Fixed-rate Bond A long-term bond with a set interest rate. Floating-rate Bond or Variable or Adjustable rate Bond A bond whose interest rate is adjusted periodically according to a predetermined formula; it is usually linked to an interest rate index such as LIBOR. Floor The lower limit for the interest rate on a floating-rate bond. Un fondo de capital variable…. The FCPA also requires publicly traded companies to maintain accurate books and records and to have a….

Foreign currency exchange forex A foreign currency exchange rate is a price that represents how much it costs to buy the currency of one country using the currency of another country. Currency traders buy and sell currencies…. Foreign Exchange Markets Markets that trade currencies.

The SEC and most foreign securities regulators are members…. Form K The federal securities laws require publicly reporting companies to disclose information on an ongoing basis. For example, domestic companies must submit annual reports on Form K, quarterly…. Form Q The federal securities laws require publicly reporting companies to disclose information on an ongoing basis. For example, domestic issuers must submit annual reports on …. Form , Investment Income Interest and Dividends The federal tax laws require brokerage firms, mutual funds, and other entities to report on Form all investment income, usually interest or dividends, they have paid to investors during the….

Form This Form must be filed with the SEC by an affiliate of the issuer as a notice of the proposed sale of securities in reliance on…. Form 8-K In addition to filing annual reports on Form K and quarterly reports on …. The form consists of two parts, both of which are available to the public on…. Advisers and brokers are required to deliver a relationship summary to you beginning in summer The relationship summary contains important….

Form D Companies may use an exemption under Regulation D to offer and sell securities without having to register the…. Por ejemplo, las empresas nacionales deben presentar informes anuales en el…. Por ejemplo, los emisores nacionales deben presentar informes anuales en el…. Formulario , ingresos por inversiones intereses y dividendos Las leyes tributarias federales requieren que las firmas de corretaje, fondos mutuos y otras entidades reporten mediante el Formulario todos los ingresos por inversiones, generalmente en forma….

El formulario consta de dos partes…. Fraudster A person whose goal is to con people out of their money. Free look Period Variable annuity contracts typically have a "free look" period of ten or more days. During this period, you are free to terminate your contract without paying any surrender charges and you will…. Freeriding In a cash account , an investor must pay for the purchase of a security before selling it.

If an investor buys and sells a…. Freeze, Brokerage Account In a cash account , an investor must pay for the purchase of a security before selling it. Front-end Load An upfront sales charge investors pay when they buy fund shares. It generally is used by the fund to compensate brokers. A front-end load is deducted from the purchase and reduces the amount…. Future Value The value of an asset at a specified date in the future. Futures contract An agreement to buy or sell a specific quantity of a commodity or financial instrument at a specified price on a particular date in the future.

Futures Market Markets that trade futures contracts for commodities such as gold, oil or wheat, as well as financial futures. General Obligation Bond A municipal bond not secured by any assets; instead it is backed by the issuer's power to tax residents to pay bondholders. It is what companies use to measure their financial results. These results include net income as…. Going Private A publicly held company generally means a company that has a class of securities that is registered with the SEC because those securities are widely held or traded on a national securities exchange.

Brokerage firms typically limit the length of time an investor can leave a GTC…. Hedge funds typically have more flexible investment strategies than mutual funds. The hallmark of an HYIP scam is the promise of incredible….

Holding Your Securities In general, securities may be held in three different ways. One way is to hold them in certificate form, where the securities are registered in your name on the books of the company, and you receive…. Holiday Schedules and Trading Hours for the National Securities Exchanges You can find the holiday schedules and trading hours for the national securities exchanges on each of their websites. Householding Rules Investors often invest in funds through a variety of individual and family accounts and, as a result, sometimes receive multiple copies of the same documents from those funds.

To avoid duplication,…. Immediate Annuity This annuity has no accumulation phase. Instead, you start receiving annuity payments right after you purchase the annuity. Any portion of an IOC order that cannot be filled immediately will be cancelled. Impersonators Impersonators may falsely claim to be affiliated with the SEC or another federal government agency in an attempt to steal your personal information or your money.

Federal government agencies,…. Index Fund An "index fund" describes a type of mutual fund or unit investment trust UIT whose investment…. Indexed Annuities An indexed annuity is a type of annuity contract between you and an insurance company. It generally…. You can contribute each year up to the maximum amount allowed by the Internal Revenue Service.

There are several…. When a company conducts a registered offering or an exempt offering…. Information Available to Investment Company Shareholders Before you invest in any registered investment company you should read its prospectus and any…. For more information about IPOs generally, see our …. They have wide latitude in allocating IPO shares.

While it can be difficult for individual investors to buy IPO shares, more firms, including…. Initial Public Offerings: Lockup Agreements Lockup agreements prohibit company insiders—including employees, their friends and family, and large shareholders—from selling their shares for a set period of time after an IPO. In other words, the…. Insider Trading Illegal insider trading refers generally to buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, on the basis of material, nonpublic information….

Interest The price paid for borrowing money. It is expressed as a percentage rate over a period of time. Interest rates may be fixed, meaning the rate is set and will not change, or may be variable or "…. Internet Fraud The Internet allows individuals or companies to communicate with a large audience without spending a lot of time, effort, or money.

Anyone can reach tens of thousands of people by building an…. Interval Fund An interval fund is a type of investment company that periodically offers to repurchase its shares from shareholders. That is, the fund…. Invest To engage in any activity in which money is put at risk for the purpose of making a profit. Common violations include misrepresenting important information about potential…. Investment Adviser An investment adviser is a firm or person that, for compensation, engages in the business of providing investment advice to others about the value of or about investing in securities — stocks,….

Investment Company A company that issues and invests in securities. The three types of investment companies are mutual funds, closed-end funds, and unit investment trusts. Investor Complaints The SEC receives many types of complaints from individual investors, including complaints against brokers, brokerage firms, investment advisers, transfer agents, mutual funds, and other market…. Issuer The entity obligated to pay principal and interest on a bond.

Late Payment of Interest on Bonds nvestors sometimes complain to the SEC staff about late payments of interest owed to them on their bonds. The SEC, however, does…. Lenders consider leveraged loans to have an above-average…. Loans, notes, bonds, and mortgages are forms of debt. These different forms all call for borrowers to pay back the amount they owe,….

Lifecycle Funds A diversified mutual fund that automatically shifts towards a more conservative mix of investments as it approaches a particular year in the future, known as its "target date. Limit Orders A limit order is an order to buy or sell a security at a specific price.

A buy limit order can only be executed at the limit price or lower, and a sell limit order can only be executed at the limit…. Liquidity or Marketability Liquidity generally refers to how easily or quickly a security can be bought or sold in a secondary market. Liquid investments can be sold readily and without paying a hefty fee to get money when it…. Load The amount that investors pay when they buy front-end load or redeem back-end load shares in a mutual fund, similar to a commission.

The SEC's rules do not limit sales loads a fund may charge,…. LIBOR is frequently used as the base for resetting rates on floating-rate securities. Rule 17f-1 under the…. Lost or Stolen Stock Certificates Brokerage firms, banks, transfer agents and corporations have procedures in place to help investors replace lost or stolen certificates. If your securities certificate is lost, accidentally…. Lump Sum Payment A payment of a sum of money at one time, such as an inheritance.

Maintenance Fee Fees that direct-sold college savings plans may charge for continued participation in the plan. Management Fee A fee paid out of fund assets to the fund's investment adviser for investment portfolio management. A fund's management fees appear under Annual Fund Operating Expenses in the fee table in the fund….

Margin Call If you buy on margin and the value of your securities declines, your brokerage firm can require you to deposit cash or securities to your account immediately, or sell any of the securities in your…. Market Capitalization Market capitalization is the value of a corporation determined by multiplying the current public market price of one share of the corporation by the number of total outstanding shares.

Market Index A measurement of the performance of a specific "basket" of stocks considered to represent a particular market or sector of the U. Market Indices A market index tracks the performance of a specific "basket" of stocks that represent a particular market or economic sector.

Market Makers A "market maker" is a firm that stands ready to buy or sell a stock at publicly quoted prices. Learn More. Market Manipulation Market manipulation is when someone artificially affects the supply or demand for a security for example, causing stock prices to rise or to fall dramatically. Market manipulation may involve…. Market Order A market order is an order to buy or sell a stock at the current market price.

Unless you specify otherwise, your broker will enter your order as a market order. The advantage of a market order is…. Markups When a broker-dealer sells you securities out of its inventory, the broker-dealer acts as a principal in the transaction that is, selling to you directly the securities it holds.

When acting in a…. Medallion Signature Guarantees: Preventing the Unauthorized Transfer of Securities If you hold securities in physical certificate form and want to transfer or sell them, you will need to sign the certificates and securities powers--a legal document, separate from a securities…. Mediation and Arbitration Arbitration, a form of alternative dispute resolution, is a technique for the resolution of disputes outside the court system. The parties to a dispute refer it to arbitration by one or more persons….

Mergers Mergers are transactions involving the combination of generally two or more companies into a single entity. The need for shareholder approval of a merger is governed by state law. Typically, a…. The people behind these offers—…. Money Market Fund A money market fund is a type of mutual fund that has relatively low risks compared to other mutual funds and most other….

Money Markets A market that provides trading in short-term debt. Mortgage-Backed Securities and Collateralized Mortgage Obligations Mortgage-backed securities MBS are debt obligations that represent claims to the cash flows from pools of mortgage loans, most commonly on residential property. Mortgage loans are purchased from…. Mutual Fund Classes Some mutual funds offer investors different types of shares, known as "classes.

But each…. Mutual Fund Fees and Expenses As with any business, running a mutual fund involves costs. For example, there are costs incurred in connection with…. Mutual Fund Redemptions A mutual fund company generally must pay redemption proceeds to a shareholder within seven days of receiving a redemption request from the shareholder. Exceptions apply on days when the New York…. Mutual Funds A mutual fund is an open-end investment company or fund.

An open-end fund is one of three basic types of investment…. Mutual Funds, Past Performance This year's top-performing mutual funds aren't necessarily going to be next year's best performers. Net Asset Value "Net asset value," or "NAV," of an investment company is the company's total assets minus its total liabilities.

Net Income The profit earned by a company after all expenses and taxes have been deducted from revenue. No Action Letters An individual or entity who is not certain whether a particular product, service, or action would constitute a violation of the federal securities law may request a "no-action" letter from the SEC…. No-load Fund A fund that does not charge any type of sales load.

But not every type of shareholder fee is a "sales load," and a no-load fund may charge fees that are not sales loads. No-load funds also charge…. El Reglamento D de la Ley de Valores proporciona una serie de…. Offering Document or Official Statement or Prospectus The disclosure document prepared by a bond issuer that gives detailed financial information about the issuer and the bond offering.

Old Stock and Bond Certificates An old stock or bond certificate may still be valuable even if it no longer trades under the name printed on the certificate. The company may have merged with another company or simply changed its…. Online Trading Although you may save time and money trading online, it does not take the homework out of making investment decisions.

To avoid costly mistakes, investors who trade online should understand how our…. Open-end Company The legal name for a mutual fund. An open-end company is a type of investment company. Operating Expenses The costs a fund incurs in running the fund, including management fees, distribution fees, and other expenses.

Options Options are contracts giving the purchaser the right — but not the obligation -- to buy or sell a security at a fixed price within a specific period of time. Stock options are traded on a number of…. Order Types There are different types of orders investors can use to buy and sell stocks through a brokerage firm. Order types and trading instructions available to you may differ between brokerage firms.

Pension See Defined Benefit Plan. Ponzi Schemes A Ponzi scheme is an investment fraud that pays existing investors with funds collected from new investors. Ponzi schemes are named after Charles Ponzi. Portfolio The combined holdings of stock, bond, commodity, real estate and other investments by an individual or institutional investor.

Premium The amount by which the price of a bond exceeds its principal par amount. Prepaid Tuition Plans A type of plan that lets an account owner purchase units or credits at participating colleges or universities for future tuition for the account beneficiary. Prepayment The unscheduled partial or complete payment of the principal amount outstanding on a loan, such as a mortgage, before it is due. Prepayment Risk The risk that principal repayment will occur earlier than scheduled, forcing the investor to reinvest at lower prevailing rates.

The ratio is calculated by dividing the current stock price by the…. Primary Market Markets in which newly issued securities are sold to investors and the issuer receives the proceeds. Principal The total amount of money being borrowed or lent; the initial amount of money invested.

Product Description A summary of key information about an ETF that explains how to obtain a prospectus. Profit Revenue minus cost; money made on a transaction. Promissory Notes Promissory notes are a form of debt that companies sometimes use to raise money. They typically involve investors loaning money to a company in exchange for a fixed amount of periodic income.

Prospectus A document that describes the mutual fund to prospective investors. Every mutual fund provides a prospectus with information about the mutual fund's investment objectives, risks, past performance,…. Proving Securities Ownership Proving securities ownership is easier if you can remember how the security was acquired. Brokerage Firm If you bought the security through a brokerage firm, contact the firm and ask if they have a….

You can attend the meeting and…. Proxy Statements: How to Find A company is required to file its proxy statements with the SEC no later than the date proxy materials are first sent…. Proxy Voting A way for shareholders to vote for corporate directors and on other matters affecting the company without having to personally attend the meeting.

Public Company A company that offers its securities through an offering and now has those securities traded on the open market. Members of the public who have questions about information available from the public reference room should contact the…. Purchase Fee A shareholder fee that some funds charge when investors buy mutual fund shares. This is not the same as, and may be in addition to, a front-end load. Purchasing Power The amount of goods and services that can be purchased by a given unit of currency, taking into account the effect of inflation.

Pyramid scheme organizers may pitch the…. Qualified Higher Education Expenses Includes tuition; room and board; mandatory fees; and, books, computers, and software if required. Quarterly Reports 10Q Each quarter, public companies file reports to the SEC containing unaudited financial statements and information about the company's operations in the previous three months. A REIT is a company that owns and typically operates income-producing real estate or….

Real Return Real return is what is earned on an investment after accounting for taxes and inflation. Real returns are lower than nominal returns, which do not subtract taxes and inflation. Rebalancing Rebalancing brings a portfolio back to its original asset allocation mix.

This is necessary because over time, some investments will grow faster than others, and holdings may become out of…. Recovering Funds Investors who are victims of securities law violations may be eligible to receive money recovered from fraudsters. Sometimes a successful SEC enforcement action results in recovered funds being…. Redemption Fee A shareholder fee that some funds charge when investors redeem sell mutual fund shares.

Redemption fees, which must be paid to the fund, are not the same as and may be in addition to a back-end…. Registered Owner A registered owner or record holder holds stocks directly with the company, rather than in "street name. Registration Statement A registration statement is a filing with the SEC making required disclosures in connection with the registration of a security, a….

Registration Under the Securities Act of The Securities Act of has two basic objectives: To require that investors receive financial and other significant information concerning securities being offered for public sale; and To…. Regla del Reglamento D La Regla del …. Reglamento del Acta de Valores Las leyes federales de valores pueden clasificar ciertos valores como restringidos o de control. La venta de valores restringidos o de control en el mercado puede ser un proceso complicado.

Bajo las…. Regulation A Under the federal securities laws, any offer or sale of a security must either be registered with the SEC or meet an exemption. Regulation Crowdfunding Crowdfunding refers to a financing method in which money is raised through soliciting relatively small individual investments or contributions from a large number of people. If the stock goes down by Re. This price change will be applicable if all other pricing variables don't change.

Puts have a negative Delta, between 0 and For example, if a Put has a Delta of - 0. Conversely, if the stock goes down by Re. We know that the value of Call Options increases as the underlying stock price increase.

It means their Delta is close to zero. For deep ITM Put Options, a change in the Options price is equivalent to a change in the underlying price, but in opposite directions. We all know that the Put Option price will fall with an increase in the underlying price.

It means Put Option Delta remains in between 0 to - 1. It is because of the assumption that the underlying stock price will not change much till expiry. It is also because of the same assumption that the underlying price will not change much till expiry. In both cases, it is because of the assumption that the underlying price will not change much till expiry. Gamma calculates the extent to which Delta would change because of the change in the underlying price.

Therefore, Gamma is considered a second-order derivative as it defines how the Delta of an Option changes. Let's say stock ABC is trading at Rs. We know that for every rupee increase in the underlying, the Option price will increase equivalent to the Delta. So, If the price of the stock moves up by one rupee and reaches Rs. Now at Rs. Gamma is responsible for a change in the Delta value.

Now let's move one step further. Gamma value is also going to change as the contract reaches near the strike price. In the above example, if the stock price falls to Rs. Simultaneously, the Delta of the Option will also fall to 0. It means Delta will keep reducing as the underlying move towards the strike price.

No, Gamma will increase as the underlying reaches to strike price, i. If the Gamma remains the same, the new Delta at Rs. But Gamma will increase and, let's say, reach 0. So typical Delta at this point will be in the range of 0. As Gamma is going to increase for every rupee fall, the actual Delta can be calculated as below with a hypothetical example:. So the Delta of the Option becomes 0. In other words, we can say that Delta is very sensitive to underlying price when the Options are At the Money.

The change in Delta is maximum for the Options, which are At the Money and close to the expiration. This is because as the Delta of deep ITM Call is closer to 1 and the maximum value of Delta can be 1, and there is no scope for Delta to move further if the Option becomes deeper in the money. Similarly, the deep ITM Put Options Delta is closer to -1 and the max value could be -1, so there is no further movement scope.

So Delta value will not change much, leading to a lower Gamma value. In the next chapter, we will discuss the Theta, Vega and Rho. It will help you understand the impact of time to maturity, interest rate and volatility on Option prices.

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