FAQs tagged as

Broker Terminology

  1. How long does a stock account have to be dormant before it can be escheated?

  2. What is the interest rate offered on a typical margin account?

  3. What is the cost of a share purchase?

  4. What is the difference between fee-based advisors and commission-based advisors?

  5. What is the difference between a custodian bank and a mutual fund custodian?

  6. How does an insurance broker make money?

  7. What does the variance between the bid and ask price of a stock mean?

  8. When is a share purchase marked as 'settled' by a brokerage?

  9. What financial regulation exist to control the secondary market?

  10. Why is purchasing stocks on margin considered more risky than traditional investing?

  11. What is the difference between positive correlation and inverse correlation?

  12. What are my options when I get a margin call?

  13. How do I sign up for a Series 63 exam as a foreign national if I don’t have a Social ...

  14. What is the difference between a sunk cost and an opportunity cost?

  15. Does the bank set up an escrow account for the buyer and seller in a home sale?

  16. Does agency theory apply to brokers and clients?

  17. Are warrants traded by brokers?

  18. How do you transfer common stock from one broker to another?

  19. How long does it take a broker to confirm a trade after it is placed?

  20. How do you know if a trade placed to a broker is confirmed?

  21. What are the differences among a real estate agent, a broker and a realtor?

  22. How much more will it cost me to buy an odd lot of shares?

  23. What is the difference between a broker and a market maker?

  24. What does the Daily Average Revenue Trade (DART) tell me about a brokerage?

  25. What happens if I cannot pay a margin call?

  26. What is a "wash sale"?

  27. What are some common hand signals on the trading floor?

  28. When is it acceptable for a broker to commingle funds with a client?

  29. What is an ABC Agreement?

  30. When looking at my online broker account, I see an account value, cash value and ...

  31. What do the "BxA" numbers on my brokerage's trading screen mean?

  32. What does "in street name" mean, and why are securities held this way?

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