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Financial Terms

Across
a response that makes a purchase, appointment, etc., definite or official
Summarizes the information contained in the registration statement. Must contain all of the material facts in the registration statement, but in shorter form.
What we win when everyone hits their metrics goals!
Varying investment types between equity securities, debt securities, and other investments.
The date on which a securities transaction occurs between two parties.
A global electronic marketplace for buying and selling securities, as well as the benchmark index for U.S. technology stocks.
A stock whose earnings are expected to grow faster than the earnings of an average company.
When money is transferred between qualified retirement plans. It is tax-free if deposited within 60 days of receipt.
When the marker is down it is called a...
The person or entity who inherits assets after the owner's death.
A fund's portfolio mirrors a market index. This is a _____ Managed Fund.
Down
A prohibited practice in the securities industry in which an individual trades on material non-public information. (Martha Stewart)
A portion of the earnings of a corporation that is distributed to common and preferred shareholders.
Movement of money in and out of a business.
Individual Retirement Arrangement
Brings buyer and sellers together in a securities transaction for a commission.
something that is owned by a person, company, etc.
The title transfer of financial assets such as bank deposits and unclaimed securities in accounts that have been dormant for a very long period of time to a state authority.
The trade in short-term negotiable instruments (as certificates of deposit or United States Treasury securities).
When funds are managed by a fund manager who makes the investment decision. These are considered ______ Managed Funds.
Intentional misrepresentations or omissions.
an insurance policy or an investment that pays someone a fixed amount of money each year.
When the market is up it is considered a ...