Chapter 1

Short term money market instrument. Offers modest income with stability of principal.

Treasury obligation with maturities of one year or less.

Interest bearing debt obligation.

Treasury obligation with maturities of more than 2 years but less than 10 years.

Treasury obligation with maturities of 10 to 30 years.

A proportionate ownership stake in a corporation.

Employer funded retirement program in which the employer promises to pay the employee a fixed retirement income that depends on salary history and time employed.

Employee funded retirement program in which employees direct and contribute to their own retirement plans. Retirement income depends on employee success in investing.

Diversified collection of stocks, bonds, and other assets.

Chance of a loss of wealth or a failure to meet investment goals.

Idea that every security is correctly priced, not overvalued or undervalued.

Accounting net income divided by stockholders equity, or book value per share.

Tendency of profit rates to return toward long-term industry and economy-wide averages.

Stock price divided by earnings per share.

Financial reason for inciting an action.

The reasons, emotions, and perceptions of the human brain as they pertain to investments.

Offer to buy and sell shares to specific prices.

Up to the minute, current stock quote.

Electronic Retrieval Analysis System for SEC filings.

Unique one - two - three or four letter code for any company.

Quarterly accounting information filed with the SEC.

Annual accounting information filed with the SEC.

Annual meeting announcement and shareholder voting information.

Filings made to the SEC within 10 days of an entity's attaining a 5 percent or more position in any class of a company's securities.

Filings submitted to the SEC by holders of restricted stock who intend to sell shares.

Financial agent who assists investors with buying and selling financial assets.

Illegal broker initiated trading in client accounts to generate commission income.

Finance professional who analyzes and makes recommendations regarding stocks and other financial assets.

Finance professional in charge of making buy, sell, and hold decisions for a portfolio.

Professional designation for investment management, banking and financial analyst.

Finance professional who helps individuals identify and meeting financial needs.

Finance professional who helps companies and government organizations acquire capital through the issuance of financial assets.