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Quarter (Q1, Q2, Q3, Q4)
A three-month period on a financial calendar that acts as a basis for the reporting of earnings and the paying of dividends.

T+1 (T+2,T+3)
Abbreviations that refer to the settlement date of security transactions. The T stands for transaction date, which is the day the transaction takes place. The numbers 1, 2 or 3 denote how many days after the transaction date the settlement or the transfer of  money and security ownership takes place. 

1%/10 net 30
A way of providing cash discounts on purchases. It means that if the bill is paid within 10 days, there is a 1% discount. Otherwise, the total amount is due within 30 days. For example, if "$1000 1/10 net 30" is written on a bill, the buyer can take a 1% discount ($1000 x .01 = $10) and make a payment of $990 within 10 days, or pay the entire $1000 within 30 days.

3C1
A portion of the Investment Company Act of 1940 that permits the exclusion of investment companies from standard registration requirements with the SEC if they have fewer than 100 U.S. investors.

Form 13F
An SEC reporting form filed by institutional investment managers in accordance with the provisions of section 13(f) of the Securities and Exchange Act of 1934, which states that all institutional investment managers who are managing over $100 million on the last trading day of any month of the calendar year must disclose their holdings on a quarterly basis.

Schedule 13D
A form that must be filed by an individual or organization who has acquired ownership of 5% or more of any non-exempt equity security.

Securities Act of 1933
A federal piece of legislation enacted as a result of the market crash of 1929. The legislation had two main goals: (1) to ensure more transparency in financial statements so investors can make informed decisions about investments, and (2) to establish laws against misrepresentation and fraudulent activities in the securities markets.

Series 31
A securities license entitling the holder to sell managed futures(funds).

12B-1 Fees
A provision that allows a mutual fund to collect a small fee from investors. This fee is designated for promotions, sales, or any other activity connected with the distribution of the fund's shares. The fee must be reasonable: 0.5% to 1% of the fund's net assets, and up to a maximum of 8.5% of the offering price per share.

12B-1 Plan
A no-load mutual fund that is allowed to use fund assets to pay for distribution costs rather than charging a 12b-1 fee. The 12b-1 fee is an annual percentage charge based on the current value of the investment.

401(k) Plan
A qualified plan established by employers to which eligible employees may make salary deferral (salary reduction) contributions on a post and/or pre-tax basis. Employers may make matching or non-elective contributions to the plan on behalf of eligible employees and may also add a profit sharing feature to the plan. Earnings accrue on a tax-deferred basis.


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10-K
An annual report required by the SEC each year that is a comprehensive summary of a company's performance. Typically the 10-K contains much more detail than the annual report. It includes information such as company history, organizational structure, equity, holdings, earnings per share, subsidiaries, etc.

10-Q
A quarterly report submitted by all public companies to the SEC in which firms are required to disclose relevant information regarding their financial position. This must be done on time, and the information should be available to all interested parties.

10-year Treasury Note
A debt obligation issued by the U.S. Treasury that has a term of more than one year, but not more than 10 years.

1040 Form
The standard IRS form that individuals use to file their annual income tax return.

1040A Form
A simplified version of the 1040 form for individual income tax. To be eligible to use a 1040A form, an individual must not itemize or own a business and their taxable income has to be under $50,000.

1040EZ Form
Similar to the 1040 income tax form, 1040EZ offers a faster and easier way to file your taxes. This form is only eligible for people with income less than $50,000 and interest income of $400 or less.

1040PC Form
An income tax return that is prepared by computer in a three column "answer-sheet" format. It only prints the bottom line number, dollar amount, and, for most entries, a brief description called a "legend page."

Chapter 10
Named after the U.S. bankruptcy code 10, chapter 10 discusses how a company can file for court protection.

Chapter 11
Named after the U.S. bankruptcy code 11, chapter 11 is a form of bankruptcy that involves a reorganization of a debtor's business affairs and assets. It is generally filed by corporations which require time to restructure their debts. Chapter 11 gives the debtor a fresh start, subject to the debtor's fulfillment of its obligations under its plan of reorganization.

Form 144
A form that must be filed with the SEC when an executive officer, director, or affiliate of a company places an order to sell that company's stock. Also known as Rule 144.


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Investment Company Act of 1940
Created in 1940 through an act of Congress, this piece of legislation clearly defines the responsibilities and limitations placed upon fund companies that offer investment products to the public.

Level 1
A trading service consisting of real-time bid/ask quotes for securities trading on the NASDAQ stock market and comparable information for securities quoted in the OTC Bulletin Board Service.

M1
The category of the money supply that includes all physical money like coins and currency. It also includes demand deposits, which are checking accounts and NOW accounts.

Rule 144A
An SEC rule that modified a two-year holding period requirement on privately placed securities by permitting Qualified Institutional Buyers (QIBs) to trade these positions among themselves.

Section 1245
The part of the IRS code stating that depreciable property which has been sold in excess of depreciated or salvage value may qualify for favorable capital gains tax treatment.

Section 1250
The section of the IRS code pertaining to real estate that has been subjected to accelerated depreciation and then sold for a gain. Gains from this type of property should be treated as ordinary income instead of capital gains.

Series 11
A securities license for sales assistants who also take unsolicited securities orders for customers.

Series 9/10
A securities license entitling the holder to supervise branch activities. Before taking the Series 9/10 exam, you must have your Series 7 license.

Tax Reform Act of 1986
Federal legislation that modified many significant aspects of the U.S. tax system.





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