Finance and investing terminology · MLC-0118
Finance and investing terms: F (36)
- Fair Disclosure, Regulation FDRegulation FD addresses the selective disclosure of information by publicly traded companies and other...
- Fee WaiverA fund might agree to reduce fees or expenses, temporarily or indefinitely, by offering investors a fee...
- Filing and Registration FeesThe SEC collects fees under various provisions of the securities laws, including the following:
- Fill-Or-Kill OrderA Fill-Or-Kill order is an order to buy or sell a stock that must be executed immediately in its entirety...
- Financial Accounting Standards Board (FASB)The Financial Accounting Standards Board (FASB) is the accounting standard setter for purposes of the Federal...
- Financial Industry Regulatory Authority (FINRA)The Financial Industry Regulatory Authority, a self-regulatory organization for the brokerage industry.
- Financial PlannersA financial planner typically prepares financial plans for his or her clients. The kinds of services...
- Financial ProductExamples of financial products include but are not limited to the following: stocks, bonds, derivatives, and...
- Financial Professionals - Background ChecksYou should check out the registration status and background of any financial professional before becoming a...
- Fixed AnnuityAn insurance product that promises a minimum rate of interest while your account is growing. The insurance...
- Fixed-rate BondA 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...
- FloorThe lower limit for the interest rate on a floating-rate bond.
- Foreign Corrupt Practices Act (FCPA)The Foreign Corrupt Practices Act (“FCPA”) generally prohibits the bribing of foreign officials. The FCPA...
- Foreign currency exchange (forex)A foreign currency exchange rate is a price that represents how much it costs to buy the currency of one...
- Foreign Exchange MarketsMarkets that trade currencies.
- Form 1099, Investment Income (Interest and Dividends)The federal tax laws require brokerage firms, mutual funds, and other entities to report on Form 1099 all...
- Form 10-KThe federal securities laws require publicly reporting companies to disclose information on an ongoing basis...
- Form 10-QThe federal securities laws require publicly reporting companies to disclose information on an ongoing basis...
- Form 13F - - Reports Filed by Institutional Investment ManagersAn institutional investment manager that uses the U.S. mail (or other means or instrumentality of interstate...
- Form 144This Form must be filed with the SEC by an affiliate of the issuer as a notice of the proposed sale of...
- Form 8-KIn addition to filing annual reports on Form 10-K and quarterly reports on Form 10-Q, publicly reporting...
- Form ADVForm ADV is the uniform form used by investment advisers to register with both the SEC and state securities...
- Form CRSForm CRS is a client or customer relationship summary. Advisers and brokers are required to deliver a...
- Form DCompanies may use an exemption under Regulation D to offer and sell securities without having to register the...
- Forms 3, 4 and 5The federal securities laws require certain individuals (such as officers, directors, and those that hold...
- FraudsterA person whose goal is to con people out of their money.
- Free look PeriodVariable annuity contracts typically have a "free look" period of ten or more days. During this period, you...
- FreeridingIn a cash account, an investor must pay for the purchase of a security before selling it. If an investor buys...
- Freeze, Brokerage AccountIn a cash account, an investor must pay for the purchase of a security before selling it. If an investor buys...
- Front-end Sales LoadA front-end sales load, also called a front-end load or front-end sales charge, is an upfront fee investors...
- Fund FamilyA fund family is a group of funds that share administrative and distribution systems. They often also share...
- Fund of FundsA fund may invest in the shares of one or more other funds to achieve improved asset allocation...
- Future ValueThe value of an asset at a specified date in the future.
- Futures contractAn agreement to buy or sell a specific quantity of a commodity or financial instrument at a specified price...
- Futures MarketMarkets that trade futures contracts for commodities such as gold, oil or wheat, as well as financial futures.
36 of 398 terms in Finance and investing terminology (MLC-0118). Request the full dataset.