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  1. Ignoring Bitcoin Is No Longer an Option for FAs

    It'd be hard to find an investment that’s captivated everyday investors as much as cryptocurrencies. The majority of financial ...
  2. Patrick J. Moore

    Patrick J. Moore became chairman and CEO of Smurfit-Stone Container Corporation in 2002.
  3. Presidential Election Cycle Theory

    The Presidential Election Cycle Theory states that U.S. stock markets are weakest in the year following the election of a ...
  4. The Great Moderation

    The Great Moderation is the name given to the period of decreased macroeconomic volatility experienced in the United States ...
  5. Jackson Hole Economic Symposium

    The Jackson Hole Economic Symposium, sponsored annually by the Federal Reserve Bank of Kansas City, has been held in Jackson ...
  6. Baby Boomers Represent Untapped Business Potential

    Millennials are receiving the most attention from financial advisors, but boomers share the same problems, including a need ...
  7. What You Need to Know About Frontier Markets

    In 2014, frontier markets, like Vietnam and the United Arab Emirates, ignited investors' imaginations. Since then, they have ...
  8. The Government Pension Investment Fund (Japan)

    The Government Pension Investment Fund is the pension fund for Japanese public employees.
  9. Overfunded Pension Plan

    An overfunded pension plan is a company retirement plan that has more assets than liabilities.
  10. Pension Plan Administrator

    A pension plan administrator manages the day-to-day affairs and the strategic decisions involved with a group's pension fund/plan. ...
  11. Registered Pension Plan (RPP)

    A registered pension plan is a form of trust that provides pension benefits for an employee of a company upon retirement.
  12. Canada Pension Plan (CPP)

    The Canada Pension Plan is one of three levels of Canada's retirement income system, which is responsible for paying retirement ...
  13. Pension Risk Transfer

    Pension risk transfer is when a defined benefit pension provider offloads the risk and retirement payment liabilities to ...
  14. Underfunded Pension Plan

    An underfunded pension plan is a company retirement plan that has more liabilities than assets.
  15. Unfunded Pension Plan

    An unfunded pension plan is an employer-managed retirement plan that uses the employer's current income to fund pension payments ...
  16. Cash Balance Pension Plan

    A cash balance pension plan is when an employer credits a participant's pension account with a set percentage of their yearly ...
  17. CRM2

    CRM2 refers to rules for Canadian investment dealers and advisors that require greater transparency about the cost and performance ...
  18. Best-Interest Contract Exemption (BICE)

    The best-interest contract exemption (BICE) allowed fiduciaries to be paid in ways that were otherwise prohibited, such as ...
  19. Robo Tax Loss Harvesting

    Robo tax-loss harvesting is the automated selling of securities in a portfolio to deliberately incur losses to offset any ...
  20. Commission

    A commission is a service charge assessed by a broker or investment advisor in return for providing investment advice and/or ...
  21. ASC X9

    ASC X9 was established by the American National Standards Institute to develop, establish, maintain and promote financial ...
  22. SEC Form N-54C

    SEC Form N-54C is a form completed by an investment company in order to withdraw its voluntary election to be regulated as ...
  23. SEC Form U-5S

    SEC Form U-5S is a filing with the Securities and Exchange Commission (SEC) that had to be filed annually by every registered ...
  24. SEC Form U-13E-1

    SEC Form U-13E-1 is for a report that must be filed with the SEC by any affiliate service company or other that provides ...
  25. SEC Form 8-B12G

    SEC Form 8-B12G is a filing with the Securities and Exchange Commission (SEC) concerning the registration of securities of ...
  26. SEC Form 8-K15D5

    SEC Form 8-K15D5 is for an initial filing for the notification of assumption of duty to report by successor issue under Section ...
  27. Tip From A Dip

    A tip from a dip is advice from a person who claims to have inside information that will materially impact a stock's price, ...
  28. SEC Form NSAR-BT

    SEC Form NSAR-BT is used for an annual SEC filing that registered investment management companies make as part of their NSAR ...
  29. SEC Form R31

    Securities exchanges and associations use SEC Form R31 to report transactions for determining fees due to the SEC for the ...
  30. SEC Form T-4

    SEC Form T-4 is an application for exemption from certain sections of the Trust Indenture Act that must be filed with the ...
  31. British Columbia Securities Commission (BCSC)

    The British Columbia Securities Commission is an independent government agency responsible for regulating securities trading ...
  32. Pre-Syndicate Bid

    A pre-syndicate bid is entered into the Nasdaq system to stabilize the price of a security prior to the effective date of ...
  33. Alberta Securities Commission (ASC)

    The Alberta Securities Commission (ASC) is a provincial regulatory agency that is responsible for administering the province ...
  34. National Market System Plan (NMSP)

    The national market system plan is a nationwide system used in the United States for the selection and reservation of securities ...
  35. SEC Form NSAR-AT

    SEC Form NSAR-AT is a semi-annual filing with the SEC that registered investment companies make as part of their NSAR form ...
  36. SEC Form ADV-H

    An application for either a temporary or continuing hardship exemption previously granted by the SEC. The form contains identifying ...
  37. SEC Form 8-K12G3

    SEC Form 8-K12G3 is an initial filing for the notification of securities of successor issuers deemed to register pursuant ...
  38. Senior Registered Options Principal (SROP)

    A senior registered options principal is an officer or partner of an options trading firm, who supervises options exposure ...
  39. Capital Strike

    A capital strike is the refusal of businesses to invest in a particular sector of the economy or in the economy as a whole.
  40. Market Performance Committee

    The Market Performance Committee consists of members and allied members of the New York Stock Exchange (NYSE) who monitor ...
  41. Negative Directional Indicator (-DI)

    A negative directional indicator is a component of the average directional index (ADX) that is used to measure the presence ...
  42. Common Gap

    Common gap is a price gap found on a price chart for an asset. These gaps are brought about by normal market forces and are ...
  43. Sanku (Three Gaps Pattern)

    Sanku (Three Gaps pattern) is a Japanese word for a candlestick pattern that consists of three individual gaps located within ...
  44. Head-Fake Trade

    A head-fake trade is a trade where a stock or market appears to be making a move in one direction, but then reverses course ...
  45. Star

    A star is a candlestick formation that happens when a small bodied-candle is positioned above the price range of the previous ...
  46. W-Shaped Recovery

    An economic cycle of recession and recovery that resembles a "W" in charting.
  47. Local Exchange Trading Systems

    Local exchange trading systems are locally organized economic organizations that allow members to participate in the exchange ...
  48. Operations Management

    Operations management is the administration of business practices to create the highest level of efficiency possible within ...
  49. Dull Market

    A dull market is a market where there is little activity. A dull market consists of low trading volumes and tight daily trading ...
  50. Subindex

    A subindex is a group of securities that are part of a larger class, but that are also tracked as a separate group due to ...
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