909:, the Conduct & Practices Handbook, and the 90-day Investment Advisor Training Program. Within 30 months of obtaining designation as a "registered representative", the registrant is further required to meet the post-licensing proficiency requirement to complete the Wealth Management Essentials course. A registered representative is also required to complete 30 hours of professional development (product knowledge) and 12 hours of compliance training every three year continuing education cycle as set out by the Investment Industry Regulatory Organization of Canada. To trade options and/or futures, a registered representative must pass the Derivatives Fundamentals Course in addition to the Options Licensing Course and/or the Futures Licensing Course, or alternatively, the Derivatives Fundamentals Options Licensing Course for options.
743:(...) This enigmatic business which is at once the fairest and most deceitful in Europe, the noblest and the most infamous in the world, the finest and the most vulgar on earth. It is a quintessence of academic learning and a paragon of fraudulence; it is a touchstone for the intelligent and a tombstone for the audacious, a treasury of usefulness and a source of disaster, (...) The best and most agreeable aspect of the new business is that one can become rich without risk. Indeed, without endangering your capital, and with out having anything to do with correspondence, advances of money, warehouses, postage, cashiers, suspensions of payment, and other unforeseen incidents, you have the prospect of gaining wealth if, in the case of bad luck in your transactions, you will only change your name. Just as the
114:
27:
1047:
of the firm; and branches, likewise managed. The South
African Institute of Stockbrokers (SAIS) offers the six exams required to become such, a Certified Stockbroker, or CSb(SA), following 3 years' work experience, and with other educational requirements met. See also re. "Regulated Positions" and
953:
via brokers, provide an ecosystem to investors to trade in capital markets through various channels- broker offices, investment advisor or screen-based electronic trading system. An individual employed by an investment firm must complete the
National Institute of Securities Markets (NISM) exam and
974:
is the QFA ("qualified financial adviser") designation, which is awarded to those who pass the
Professional Diploma in Financial Advice and agree to comply with the ongoing "continuous professional development" (CPD) requirements. The qualification, and attaching CPD program, meets the "minimum
921:, to become a representative one has to work for a licensed firm and pass 3 exams to prove competency. Passing a fourth exam results in obtaining a "specialist" license. All tests can be taken with the Hong Kong Securities Institute. After passing all tests, approval must be received by the
961:
Stock market advisory and research services are highly regulated in India. Only SEBI registered stock advisory and investment research analysts are allowed to do so. The complete details of these authorized persons are available on website of SEBI for protection of investors.
1095:(CISI), established in 1992, is the largest UK professional body for investment professionals. It evolved from the London Stock Exchange, has around 45,000 members in over 100 countries and delivers more than 40,000 exams each year. Qualifications include: the
905:, to be licensed as a "registered representative" or an "investment advisor" and thus be qualified to offer investment advice and trade all instruments with the exception of derivatives, an individual employed by an investment firm must have completed the
747:, when they are seriously ill, change their names in order to obtain relief, so a changing of his name is sufficient for the speculator who finds himself in difficulties, to free himself from all impending dangers and tormenting disquietude.
1105:
CFA UK also offers various FCA Appropriate
Qualifications. It represents the interests of around 12,000 investment professionals and is part of the worldwide network of members of the
1898:
1031:, becoming a trading representative requires passing 4 exams, modules 1A, 5, 6 and 6A, from the Institute of Banking and Finance and applying for the license through MAS and SGX.
1557:
1539:
705:
Examples of professional designations held by individuals in this field, which affects the types of investments they are permitted to sell and the services they provide include
1092:
1467:
938:
867:
1489:
1019:
oversees qualifications. The New
Zealand Certificate in Financial Services (Level 5) is the minimum level of qualification necessary to offer investment advice.
1624:
1049:
1891:
633:
1572:
1597:
3184:
1263:
1170:
1140:
1124:
882:
725:
113:
1069:
1053:
942:
3158:
2825:
1884:
1829:
863:
367:
2129:
1016:
975:
competency requirements" specified by the
Financial Regulator, for advising on and selling five categories of retail financial products:
1148:
1649:
1514:
2689:
1756:
1395:
1342:
1315:
1163:
922:
1773:
1532:
1096:
2154:
1040:
946:
776:
3058:
1174:
1144:
844:
3098:
2745:
1359:
706:
626:
3128:
2148:
1518:
1438:
1118:
699:
659:
2631:
2571:
2367:
2273:
1128:
275:
2357:
2325:
2229:
2183:
2166:
2119:
1085:
718:
714:
710:
1158:, cannot be called stockbrokers since they are prohibited from selling stocks. Selling variable products, such as a
3033:
2810:
2142:
2136:
906:
816:
2795:
1493:
1225:
663:
619:
562:
357:
280:
2531:
2206:
1576:
808:
240:
187:
1856:
1663:
2485:
2346:
2241:
2124:
1553:
886:
878:
820:
3008:
2710:
2373:
1190:
597:
474:
449:
407:
320:
1100:
3189:
3003:
2988:
2925:
2885:
2875:
2815:
2775:
2682:
2511:
2320:
1000:
950:
824:
812:
1166:
policy, typically requires the broker to also have one or another state insurance department licenses.
1043:
rules require that member firms must be under the control of a "qualified stockbroker", who is also an
522:
3068:
3023:
2943:
2937:
2910:
2890:
2835:
2830:
2750:
2646:
2566:
2331:
2315:
2278:
2160:
2103:
2071:
832:
602:
572:
414:
377:
340:
1084:
and brokers must achieve a recognised qualification from the
Appropriate Qualifications list of the
3133:
3103:
3083:
2993:
2953:
2880:
2870:
2865:
2576:
2521:
2445:
2305:
2235:
2064:
2037:
1415:
788:
547:
542:
444:
216:
2425:
3118:
3113:
2998:
2973:
2920:
2845:
2760:
2616:
2591:
2551:
2536:
2455:
2394:
2352:
2096:
2006:
1996:
1044:
800:
691:
582:
469:
197:
40:
3048:
2905:
2850:
2780:
2765:
2725:
2480:
2465:
2217:
1752:
1746:
1391:
1385:
1338:
1311:
1283:
1210:
752:
695:
687:
667:
402:
387:
335:
315:
245:
202:
1332:
1305:
3043:
3013:
2983:
2978:
2958:
2930:
2895:
2820:
2730:
2675:
2581:
2501:
2297:
2178:
2054:
1973:
1929:
1907:
1255:
1159:
494:
459:
454:
439:
424:
362:
330:
235:
121:
105:
1463:
3148:
3143:
3063:
2968:
2948:
2860:
2855:
2785:
2770:
2656:
2651:
2586:
2561:
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2470:
2450:
2409:
2404:
2399:
2384:
2379:
2267:
2201:
2193:
2081:
1968:
1833:
1717:
1628:
1235:
1205:
768:
592:
577:
537:
434:
419:
392:
372:
302:
292:
1703:
3138:
3123:
3088:
3073:
3053:
2915:
2900:
2740:
2715:
2611:
2606:
2506:
2491:
2252:
2247:
2212:
2011:
1978:
1924:
1916:
1411:
1215:
1081:
784:
737:
683:
587:
552:
397:
347:
285:
157:
3178:
3163:
2805:
2790:
2755:
2475:
2460:
2435:
2389:
2341:
2044:
2001:
1988:
1939:
1860:
1601:
1291:
1288:
Confusión de confusiones (1688): Portions
Descriptive of the Amsterdam Stock Exchange
1155:
1136:
1132:
1106:
828:
760:
679:
607:
567:
512:
137:
36:
3038:
2963:
2636:
2556:
2526:
2516:
2336:
2310:
2059:
2049:
2032:
1963:
1958:
1934:
1742:
1230:
1220:
1195:
804:
532:
429:
167:
32:
854:
Up until
January 1, 2019, investment professionals that offer financial advice in
3153:
3078:
3028:
3018:
2720:
2641:
2621:
2601:
2596:
2541:
2430:
2362:
1691:
1200:
1065:
1012:
780:
527:
479:
464:
192:
182:
162:
152:
147:
728:
provides an online tool designed to help understand professional designations.
2800:
2626:
2546:
2223:
2086:
996:
655:
306:
254:
207:
177:
172:
1815:
2262:
2257:
2172:
2091:
1178:
1028:
918:
871:
855:
2667:
1294:: Baker Library, Harvard Graduate School of Business Administration, 1957)
2735:
2440:
2076:
142:
1387:
Market
Players: A Guide to the Institutions in Today's Financial Markets
26:
2840:
2699:
2284:
971:
890:
744:
557:
382:
264:
94:
2027:
970:
The recognized benchmark designation for investment professionals in
902:
796:
675:
225:
1876:
3108:
1950:
934:
859:
792:
651:
484:
325:
682:
and may need to hold a relevant license and may be a member of a
1307:
Money Changes Everything: How Finance Made Civilization Possible
1135:. Exams that individuals may take for accreditation include the
835:, agreeing to trade five securities under that buttonwood tree.
772:
517:
352:
230:
128:
2671:
1880:
1650:"For Individuals Seeking to Complete the Level 5 qualification"
1625:"So you want to invest in the stock market: what will it cost?"
671:
1490:"CommSec profits fall 20.8 per cent amid market turbulence"
1412:"Wall Street and the Stock Exchanges: Historical Resources"
779:, stockbroking did not become a profession until after the
1857:"How to Become a Financial Advisor: What You Need to Know"
1830:"Investment sector fears major restructure and staff cuts"
1679:
1798:
1154:
Individuals holding some of those licenses, such as the
1799:"CFA UK | Building a better investment profession"
1052:. (SAIS also offers the Financial Markets Practitioner
877:
As of 2019, Australia's biggest online stockbroker was
1558:
Investment Industry Regulatory Organization of Canada
1540:
Investment Industry Regulatory Organization of Canada
979:
Stock shares, bonds, and other investment instruments
1573:"Hong Kong puts financial professionals to the test"
1072:
oversees the licensing of investment professionals.
2418:
2293:
2192:
2112:
2020:
1987:
1948:
1914:
1093:
Chartered Institute for Securities & Investment
88:
78:
52:
47:
1290:. Selected and translated by Hermann Kellenbenz. (
811:, the first company to issue stock. In 1698, the
16:Professional who buys and sells shares for others
1468:Australian Securities and Investments Commission
1334:Government Debts and Financial Markets in Europe
939:Securities and Exchange Board of India Act, 1992
868:Australian Securities and Investments Commission
650:is an individual or company that buys and sells
1598:"SEBI prescribes norms for investment advisors"
741:
1533:"Continuing Education/Approval Category Chart"
1080:Stockbroking is a regulated profession in the
694:. In this case they may also be licensed as a
2683:
1892:
1554:"Continuing Education & Member Resources"
799:. In 1602, the Amsterdam Stock Exchange (now
674:. In most countries they are regulated as a
627:
8:
1360:"What Was the First Company to Issue Stock?"
1131:, regulates investment professionals in the
1050:South African Institute of Financial Markets
19:
1718:"Best Online Trading Platform (UK) in 2020"
1169:Individuals and firms are regulated by the
2690:
2676:
2668:
1899:
1885:
1877:
1310:. Princeton University Press. p. 17.
634:
620:
101:
1748:The Handbook of News Analytics in Finance
1256:"Understanding Professional Designations"
1101:CISI Level 7 Diploma in Wealth Management
1097:CISI Level 4 Diploma in Investment Advice
767:The first recorded buying and selling of
1680:South African Institute of Stockbrokers
1515:"CSI Career Map - CSI Global Education"
1264:Financial Industry Regulatory Authority
1246:
1171:U.S. Securities and Exchange Commission
1141:Uniform Securities Agent State Law Exam
1125:Financial Industry Regulatory Authority
726:Financial Industry Regulatory Authority
502:
301:
253:
215:
120:
104:
1390:. John Wiley & Sons. p. 277.
1070:Korea Financial Investment Association
943:Securities and Exchange Board of India
18:
3159:Valuation using discounted cash flows
1716:Williams, Alex (September 17, 2020).
1488:Yeates, Clancy (September 30, 2019).
1358:Beattie, Andrew (December 13, 2017).
954:apply to SEBI for registration as an
864:Australian Financial Services Licence
7:
1623:Hamilton, Peter (October 15, 2019).
1017:New Zealand Qualifications Authority
1855:Fiorillo, Steve (August 22, 2019).
1149:Uniform Investment Adviser Law Exam
941:and brokers must register with the
839:Licensing and training requirements
982:Savings, investments, and pensions
14:
1772:Oates, Simon (February 1, 2022).
1164:variable universal life insurance
1003:were Irish largest stockbrokers.
923:Securities and Futures Commission
858:had to pass training pursuant to
775:in the 2nd century BC. After the
2155:Electronic communication network
1041:Johannesburg Securities Exchange
947:National Stock Exchange of India
831:, as 24 stockbrokers signed the
777:fall of the Western Roman Empire
759:(1688), the earliest book about
112:
25:
3059:Quantitative behavioral finance
1828:Tew, Imogen (October 9, 2020).
1571:Yiu, Enoch (December 1, 2012).
1175:Investment Advisers Act of 1940
1145:Uniform Combined State Law Exam
845:List of securities examinations
717:(in the United States and UK),
707:chartered financial consultants
3185:Financial services occupations
3099:Strategic financial management
2746:Bull (stock market speculator)
1704:Financial Markets Practitioner
1439:"RG146 CPD no longer required"
1437:Goh, Jassmyn (June 10, 2020).
1331:Piola Caselli, Fausto (2015).
1304:Goetzmann, William N. (2017).
807:with trading in shares of the
1:
3129:Sustainable Development Goals
2149:Multilateral trading facility
1519:Canadian Securities Institute
1119:Registered investment adviser
700:registered investment adviser
2572:Returns-based style analysis
2368:Post-modern portfolio theory
2274:Security characteristic line
1177:, including laws related to
1129:self-regulatory organization
1048:"Registered Persons" at The
803:) became the first official
719:chartered financial planners
715:chartered financial analysts
711:certified financial planners
660:financial market participant
2326:Efficient-market hypothesis
2230:Capital asset pricing model
2167:Straight-through processing
1086:Financial Conduct Authority
881:, other large brokers were
3206:
2811:Enterprise risk management
2143:Alternative Trading System
1116:
907:Canadian Securities Course
842:
735:
724:In the United States, the
686:. They generally act as a
2796:Diversification (finance)
2706:
1751:. John Wiley & Sons.
1494:The Sydney Morning Herald
1337:. Routledge. p. 24.
1226:Stock market data systems
563:Guaranteed minimum income
358:Diversification (finance)
62:Registered representative
39:workstation, including a
24:
2207:Arbitrage pricing theory
1577:South China Morning Post
1173:and laws related to the
1054:vocational certification
891:Westpac Online Investing
866:that is overseen by the
809:Dutch East India Company
757:Confusión de confusiones
732:History of stock broking
702:(in the United States).
241:Employee stock ownership
188:Refund anticipation loan
2486:Initial public offering
2347:Modern portfolio theory
2242:Dividend discount model
2125:List of stock exchanges
1745:; Mitra, Leela (2011).
1260:seksun_komsan.org.co.th
879:Commonwealth Securities
821:New York Stock Exchange
819:. On May 17, 1792, the
817:Jonathan's Coffee-House
158:Unsecured personal loan
74:Investment professional
3009:Investment performance
2711:Alternative investment
2374:Random walk hypothesis
1778:financial-expert.co.uk
1692:Becoming a Stockbroker
1652:. Skills Organisation.
1443:moneymanagement.com.au
1384:Rolland, Gail (2010).
1191:Boiler room (business)
870:. They are subject to
765:
598:Universal basic income
475:Portfolio optimization
450:Investment performance
321:Alternative investment
64:Trading representative
3004:Investment management
2989:International finance
2816:Environmental finance
2776:Computational finance
2512:Market capitalization
2321:Dollar cost averaging
1664:"SAIS Gazette Report"
1147:(Series 66), and the
951:Bombay Stock Exchange
827:(buttonwood tree) in
825:platanus occidentalis
813:London Stock Exchange
3069:Risk-return spectrum
3024:Mathematical finance
2944:Fundamental analysis
2938:Financial technology
2836:Experimental finance
2831:Exchange traded fund
2332:Fundamental analysis
2316:Contrarian investing
2279:Security market line
2184:Liquidity aggregator
2161:Direct market access
2072:Quantitative analyst
1604:. September 24, 2020
937:are governed by the
862:. They must hold an
833:Buttonwood Agreement
603:Volatility (finance)
573:Risk-return spectrum
415:Fundamental analysis
281:Defined contribution
3134:Sustainable finance
3104:Statistical finance
3084:Statistical finance
2994:Investment advisory
2954:Greater fool theory
2577:Reverse stock split
2522:Market manipulation
2446:Dual-listed company
2306:Algorithmic trading
2236:Capital market line
2038:Inter-dealer broker
1416:Library of Congress
883:ANZ Share Investing
789:Italian city-states
548:Financial inclusion
543:Financial deepening
445:Investment advisory
217:Employment contract
21:
3119:Structured product
3114:Structured finance
2999:Investment banking
2974:History of banking
2761:Capital management
2617:Stock market index
2456:Efficient frontier
2395:Technical analysis
2353:Momentum investing
2175:(private exchange)
2065:Proprietary trader
2007:Shares outstanding
1997:Authorised capital
1464:"Financial advice"
1284:De la Vega, Joseph
1045:executive director
801:Euronext Amsterdam
783:, when government
692:investment manager
583:Structured product
523:Citizen's dividend
470:Passive management
198:Debt consolidation
68:Investment adviser
58:Investment advisor
41:Bloomberg Terminal
3172:
3171:
3049:Position of trust
2781:Corporate finance
2766:Capital structure
2726:Asset (economics)
2698:General areas of
2665:
2664:
2466:Flight-to-quality
2218:Buffett indicator
1908:Financial markets
1722:hostingdata.co.uk
1211:Securities market
1143:(Series 63), the
933:Share brokers in
753:Joseph de la Vega
696:financial adviser
688:financial advisor
644:
643:
316:Active management
246:Employee benefits
203:Debt rescheduling
100:
99:
70:Financial adviser
66:Investment broker
3197:
3044:Personal finance
3034:Over-the-counter
3014:Investor profile
2984:Impact investing
2979:History of money
2959:Growth investing
2821:Equity (finance)
2731:Asset allocation
2692:
2685:
2678:
2669:
2582:Share repurchase
2294:Trading theories
2179:Crossing network
2137:Over-the-counter
1974:Restricted stock
1930:Secondary market
1901:
1894:
1887:
1878:
1872:
1871:
1869:
1867:
1852:
1846:
1845:
1843:
1841:
1825:
1819:
1813:
1807:
1806:
1795:
1789:
1788:
1786:
1784:
1774:"About The CISI"
1769:
1763:
1762:
1739:
1733:
1732:
1730:
1728:
1713:
1707:
1701:
1695:
1689:
1683:
1677:
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1660:
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1646:
1640:
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1620:
1614:
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1611:
1609:
1594:
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1550:
1544:
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1537:
1529:
1523:
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1511:
1505:
1504:
1502:
1500:
1485:
1479:
1478:
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1474:
1460:
1454:
1453:
1451:
1449:
1434:
1428:
1427:
1425:
1423:
1408:
1402:
1401:
1381:
1375:
1374:
1372:
1370:
1355:
1349:
1348:
1328:
1322:
1321:
1301:
1295:
1281:
1275:
1274:
1272:
1270:
1254:komsan, seksun.
1251:
1160:variable annuity
763:
662:in return for a
636:
629:
622:
505:
495:Target date fund
460:Investor profile
455:Investment style
440:Impact investing
425:Growth investing
363:Equity (finance)
236:Salary packaging
116:
106:Personal finance
102:
90:Activity sectors
29:
22:
3205:
3204:
3200:
3199:
3198:
3196:
3195:
3194:
3175:
3174:
3173:
3168:
3149:Too big to fail
3144:Systematic risk
3064:Quantum finance
2969:Hedge (finance)
2949:Government bond
2786:Cost of capital
2771:Climate finance
2702:
2696:
2666:
2661:
2652:Voting interest
2562:Public offering
2497:Mandatory offer
2471:Government bond
2451:DuPont analysis
2414:
2410:Value investing
2405:Value averaging
2400:Trend following
2385:Style investing
2380:Sector rotation
2295:
2289:
2268:Net asset value
2194:Stock valuation
2188:
2108:
2016:
1983:
1969:Preferred stock
1944:
1910:
1905:
1875:
1865:
1863:
1854:
1853:
1849:
1839:
1837:
1834:Financial Times
1827:
1826:
1822:
1814:
1810:
1797:
1796:
1792:
1782:
1780:
1771:
1770:
1766:
1759:
1741:
1740:
1736:
1726:
1724:
1715:
1714:
1710:
1702:
1698:
1690:
1686:
1678:
1674:
1666:
1662:
1661:
1657:
1648:
1647:
1643:
1633:
1631:
1629:The Irish Times
1622:
1621:
1617:
1607:
1605:
1596:
1595:
1591:
1581:
1579:
1570:
1569:
1565:
1552:
1551:
1547:
1535:
1531:
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1526:
1513:
1512:
1508:
1498:
1496:
1487:
1486:
1482:
1472:
1470:
1462:
1461:
1457:
1447:
1445:
1436:
1435:
1431:
1421:
1419:
1418:. June 12, 2018
1410:
1409:
1405:
1398:
1383:
1382:
1378:
1368:
1366:
1357:
1356:
1352:
1345:
1330:
1329:
1325:
1318:
1303:
1302:
1298:
1282:
1278:
1268:
1266:
1253:
1252:
1248:
1244:
1236:Stock valuation
1206:Prime brokerage
1187:
1121:
1115:
1078:
1062:
1037:
1025:
1009:
988:Consumer credit
968:
931:
915:
899:
852:
847:
841:
823:opened under a
787:were traded in
764:
751:
740:
734:
640:
593:Systematic risk
578:Social dividend
538:Economic bubble
503:
435:Hedge (finance)
420:Government bond
373:Estate planning
303:Personal budget
297:
293:Social security
276:Defined benefit
269:
91:
81:
80:Occupation type
73:
71:
69:
67:
65:
63:
61:
59:
57:
43:
17:
12:
11:
5:
3203:
3201:
3193:
3192:
3187:
3177:
3176:
3170:
3169:
3167:
3166:
3161:
3156:
3151:
3146:
3141:
3139:Swap (finance)
3136:
3131:
3126:
3124:Sustainability
3121:
3116:
3111:
3106:
3101:
3096:
3091:
3089:Stock exchange
3086:
3081:
3076:
3074:Social finance
3071:
3066:
3061:
3056:
3054:Public finance
3051:
3046:
3041:
3036:
3031:
3026:
3021:
3016:
3011:
3006:
3001:
2996:
2991:
2986:
2981:
2976:
2971:
2966:
2961:
2956:
2951:
2946:
2941:
2935:
2934:
2933:
2928:
2923:
2918:
2913:
2908:
2903:
2898:
2893:
2888:
2883:
2878:
2873:
2868:
2863:
2858:
2853:
2848:
2838:
2833:
2828:
2823:
2818:
2813:
2808:
2803:
2798:
2793:
2788:
2783:
2778:
2773:
2768:
2763:
2758:
2753:
2748:
2743:
2741:Bond (finance)
2738:
2733:
2728:
2723:
2718:
2716:Angel investor
2713:
2707:
2704:
2703:
2697:
2695:
2694:
2687:
2680:
2672:
2663:
2662:
2660:
2659:
2654:
2649:
2644:
2639:
2634:
2629:
2624:
2619:
2614:
2612:Stock exchange
2609:
2607:Stock dilution
2604:
2599:
2594:
2589:
2584:
2579:
2574:
2569:
2564:
2559:
2554:
2549:
2544:
2539:
2534:
2532:Mean reversion
2529:
2524:
2519:
2514:
2509:
2507:Market anomaly
2504:
2499:
2494:
2489:
2483:
2478:
2473:
2468:
2463:
2458:
2453:
2448:
2443:
2438:
2433:
2428:
2426:Bid–ask spread
2422:
2420:
2416:
2415:
2413:
2412:
2407:
2402:
2397:
2392:
2387:
2382:
2377:
2371:
2365:
2360:
2355:
2350:
2344:
2339:
2334:
2329:
2323:
2318:
2313:
2308:
2302:
2300:
2291:
2290:
2288:
2287:
2282:
2276:
2271:
2265:
2260:
2255:
2253:Earnings yield
2250:
2248:Dividend yield
2245:
2239:
2233:
2227:
2221:
2215:
2210:
2204:
2198:
2196:
2190:
2189:
2187:
2186:
2181:
2176:
2170:
2164:
2158:
2152:
2146:
2140:
2139:(off-exchange)
2134:
2133:
2132:
2127:
2116:
2114:
2113:Trading venues
2110:
2109:
2107:
2106:
2101:
2100:
2099:
2089:
2084:
2079:
2074:
2069:
2068:
2067:
2062:
2052:
2047:
2042:
2041:
2040:
2035:
2024:
2022:
2018:
2017:
2015:
2014:
2012:Treasury stock
2009:
2004:
1999:
1993:
1991:
1985:
1984:
1982:
1981:
1979:Tracking stock
1976:
1971:
1966:
1961:
1955:
1953:
1946:
1945:
1943:
1942:
1937:
1932:
1927:
1925:Primary market
1921:
1919:
1912:
1911:
1906:
1904:
1903:
1896:
1889:
1881:
1874:
1873:
1847:
1820:
1816:Qualifications
1808:
1790:
1764:
1757:
1734:
1708:
1696:
1684:
1672:
1655:
1641:
1615:
1589:
1563:
1545:
1524:
1506:
1480:
1455:
1429:
1403:
1396:
1376:
1350:
1343:
1323:
1316:
1296:
1276:
1245:
1243:
1240:
1239:
1238:
1233:
1228:
1223:
1218:
1216:Stock exchange
1213:
1208:
1203:
1198:
1193:
1186:
1183:
1114:
1111:
1082:United Kingdom
1077:
1076:United Kingdom
1074:
1061:
1058:
1036:
1033:
1024:
1021:
1008:
1005:
993:
992:
991:Life insurance
989:
986:
985:Mortgage loans
983:
980:
967:
964:
930:
927:
914:
911:
898:
895:
851:
848:
840:
837:
815:opened at the
755:, in his book
749:
738:Stock exchange
736:Main article:
733:
730:
684:stock exchange
642:
641:
639:
638:
631:
624:
616:
613:
612:
611:
610:
605:
600:
595:
590:
588:Sustainability
585:
580:
575:
570:
565:
560:
555:
553:Financial risk
550:
545:
540:
535:
530:
525:
520:
515:
507:
506:
500:
499:
498:
497:
492:
487:
482:
477:
472:
467:
462:
457:
452:
447:
442:
437:
432:
427:
422:
417:
412:
411:
410:
405:
400:
395:
390:
380:
375:
370:
365:
360:
355:
350:
348:Bond (finance)
345:
344:
343:
338:
333:
323:
318:
310:
309:
299:
298:
296:
295:
290:
289:
288:
286:Social pension
283:
278:
270:
268:
267:
261:
258:
257:
251:
250:
249:
248:
243:
238:
233:
228:
220:
219:
213:
212:
211:
210:
205:
200:
195:
190:
185:
180:
175:
170:
165:
160:
155:
150:
145:
140:
132:
131:
118:
117:
109:
108:
98:
97:
92:
89:
86:
85:
82:
79:
76:
75:
72:Wealth manager
54:
50:
49:
45:
44:
30:
15:
13:
10:
9:
6:
4:
3:
2:
3202:
3191:
3188:
3186:
3183:
3182:
3180:
3165:
3164:Watered stock
3162:
3160:
3157:
3155:
3152:
3150:
3147:
3145:
3142:
3140:
3137:
3135:
3132:
3130:
3127:
3125:
3122:
3120:
3117:
3115:
3112:
3110:
3107:
3105:
3102:
3100:
3097:
3095:
3092:
3090:
3087:
3085:
3082:
3080:
3077:
3075:
3072:
3070:
3067:
3065:
3062:
3060:
3057:
3055:
3052:
3050:
3047:
3045:
3042:
3040:
3037:
3035:
3032:
3030:
3027:
3025:
3022:
3020:
3017:
3015:
3012:
3010:
3007:
3005:
3002:
3000:
2997:
2995:
2992:
2990:
2987:
2985:
2982:
2980:
2977:
2975:
2972:
2970:
2967:
2965:
2962:
2960:
2957:
2955:
2952:
2950:
2947:
2945:
2942:
2939:
2936:
2932:
2929:
2927:
2924:
2922:
2919:
2917:
2914:
2912:
2909:
2907:
2904:
2902:
2899:
2897:
2894:
2892:
2889:
2887:
2884:
2882:
2879:
2877:
2874:
2872:
2869:
2867:
2864:
2862:
2859:
2857:
2854:
2852:
2849:
2847:
2844:
2843:
2842:
2839:
2837:
2834:
2832:
2829:
2827:
2824:
2822:
2819:
2817:
2814:
2812:
2809:
2807:
2806:Eco-investing
2804:
2802:
2799:
2797:
2794:
2792:
2791:Disinvestment
2789:
2787:
2784:
2782:
2779:
2777:
2774:
2772:
2769:
2767:
2764:
2762:
2759:
2757:
2756:Capital asset
2754:
2752:
2749:
2747:
2744:
2742:
2739:
2737:
2734:
2732:
2729:
2727:
2724:
2722:
2719:
2717:
2714:
2712:
2709:
2708:
2705:
2701:
2693:
2688:
2686:
2681:
2679:
2674:
2673:
2670:
2658:
2655:
2653:
2650:
2648:
2645:
2643:
2640:
2638:
2635:
2633:
2630:
2628:
2625:
2623:
2620:
2618:
2615:
2613:
2610:
2608:
2605:
2603:
2600:
2598:
2595:
2593:
2590:
2588:
2587:Short selling
2585:
2583:
2580:
2578:
2575:
2573:
2570:
2568:
2565:
2563:
2560:
2558:
2555:
2553:
2550:
2548:
2545:
2543:
2540:
2538:
2535:
2533:
2530:
2528:
2525:
2523:
2520:
2518:
2515:
2513:
2510:
2508:
2505:
2503:
2500:
2498:
2495:
2493:
2490:
2487:
2484:
2482:
2479:
2477:
2476:Greenspan put
2474:
2472:
2469:
2467:
2464:
2462:
2461:Financial law
2459:
2457:
2454:
2452:
2449:
2447:
2444:
2442:
2439:
2437:
2436:Cross listing
2434:
2432:
2429:
2427:
2424:
2423:
2421:
2419:Related terms
2417:
2411:
2408:
2406:
2403:
2401:
2398:
2396:
2393:
2391:
2390:Swing trading
2388:
2386:
2383:
2381:
2378:
2375:
2372:
2369:
2366:
2364:
2361:
2359:
2358:Mosaic theory
2356:
2354:
2351:
2348:
2345:
2343:
2342:Market timing
2340:
2338:
2335:
2333:
2330:
2327:
2324:
2322:
2319:
2317:
2314:
2312:
2309:
2307:
2304:
2303:
2301:
2299:
2292:
2286:
2283:
2280:
2277:
2275:
2272:
2269:
2266:
2264:
2261:
2259:
2256:
2254:
2251:
2249:
2246:
2243:
2240:
2237:
2234:
2231:
2228:
2225:
2222:
2219:
2216:
2214:
2211:
2208:
2205:
2203:
2200:
2199:
2197:
2195:
2191:
2185:
2182:
2180:
2177:
2174:
2171:
2168:
2165:
2162:
2159:
2156:
2153:
2150:
2147:
2144:
2141:
2138:
2135:
2131:
2130:Trading hours
2128:
2126:
2123:
2122:
2121:
2118:
2117:
2115:
2111:
2105:
2102:
2098:
2095:
2094:
2093:
2090:
2088:
2085:
2083:
2080:
2078:
2075:
2073:
2070:
2066:
2063:
2061:
2058:
2057:
2056:
2053:
2051:
2048:
2046:
2045:Broker-dealer
2043:
2039:
2036:
2034:
2031:
2030:
2029:
2026:
2025:
2023:
2019:
2013:
2010:
2008:
2005:
2003:
2002:Issued shares
2000:
1998:
1995:
1994:
1992:
1990:
1989:Share capital
1986:
1980:
1977:
1975:
1972:
1970:
1967:
1965:
1962:
1960:
1957:
1956:
1954:
1952:
1947:
1941:
1940:Fourth market
1938:
1936:
1933:
1931:
1928:
1926:
1923:
1922:
1920:
1918:
1913:
1909:
1902:
1897:
1895:
1890:
1888:
1883:
1882:
1879:
1862:
1861:TheStreet.com
1858:
1851:
1848:
1835:
1831:
1824:
1821:
1817:
1812:
1809:
1804:
1803:www.cfauk.org
1800:
1794:
1791:
1779:
1775:
1768:
1765:
1760:
1758:9781119990802
1754:
1750:
1749:
1744:
1743:Mitra, Gautam
1738:
1735:
1723:
1719:
1712:
1709:
1705:
1700:
1697:
1693:
1688:
1685:
1681:
1676:
1673:
1665:
1659:
1656:
1651:
1645:
1642:
1630:
1626:
1619:
1616:
1603:
1602:Business Line
1599:
1593:
1590:
1578:
1574:
1567:
1564:
1559:
1555:
1549:
1546:
1541:
1534:
1528:
1525:
1520:
1516:
1510:
1507:
1495:
1491:
1484:
1481:
1469:
1465:
1459:
1456:
1444:
1440:
1433:
1430:
1417:
1413:
1407:
1404:
1399:
1397:9780470665558
1393:
1389:
1388:
1380:
1377:
1365:
1361:
1354:
1351:
1346:
1344:9781317314233
1340:
1336:
1335:
1327:
1324:
1319:
1317:9780691178370
1313:
1309:
1308:
1300:
1297:
1293:
1292:Cambridge, MA
1289:
1285:
1280:
1277:
1265:
1261:
1257:
1250:
1247:
1241:
1237:
1234:
1232:
1229:
1227:
1224:
1222:
1219:
1217:
1214:
1212:
1209:
1207:
1204:
1202:
1199:
1197:
1194:
1192:
1189:
1188:
1184:
1182:
1180:
1176:
1172:
1167:
1165:
1161:
1157:
1156:Series 6 exam
1152:
1151:(Series 65).
1150:
1146:
1142:
1138:
1137:Series 7 exam
1134:
1133:United States
1130:
1126:
1120:
1113:United States
1112:
1110:
1108:
1107:CFA Institute
1103:
1102:
1098:
1094:
1089:
1087:
1083:
1075:
1073:
1071:
1067:
1059:
1057:
1055:
1051:
1046:
1042:
1034:
1032:
1030:
1022:
1020:
1018:
1014:
1006:
1004:
1002:
998:
990:
987:
984:
981:
978:
977:
976:
973:
965:
963:
959:
957:
952:
948:
944:
940:
936:
928:
926:
924:
920:
912:
910:
908:
904:
896:
894:
892:
888:
884:
880:
875:
874:obligations.
873:
869:
865:
861:
857:
849:
846:
838:
836:
834:
830:
829:New York City
826:
822:
818:
814:
810:
806:
802:
798:
794:
790:
786:
782:
778:
774:
770:
762:
761:stock trading
758:
754:
748:
746:
739:
731:
729:
727:
722:
721:(in the UK).
720:
716:
712:
708:
703:
701:
697:
693:
689:
685:
681:
680:broker-dealer
677:
673:
669:
665:
661:
657:
653:
649:
637:
632:
630:
625:
623:
618:
617:
615:
614:
609:
608:Watered stock
606:
604:
601:
599:
596:
594:
591:
589:
586:
584:
581:
579:
576:
574:
571:
569:
568:Market impact
566:
564:
561:
559:
556:
554:
551:
549:
546:
544:
541:
539:
536:
534:
531:
529:
526:
524:
521:
519:
516:
514:
513:Asset pricing
511:
510:
509:
508:
501:
496:
493:
491:
488:
486:
483:
481:
478:
476:
473:
471:
468:
466:
463:
461:
458:
456:
453:
451:
448:
446:
443:
441:
438:
436:
433:
431:
428:
426:
423:
421:
418:
416:
413:
409:
406:
404:
401:
399:
396:
394:
391:
389:
386:
385:
384:
381:
379:
376:
374:
371:
369:
366:
364:
361:
359:
356:
354:
351:
349:
346:
342:
339:
337:
334:
332:
329:
328:
327:
324:
322:
319:
317:
314:
313:
312:
311:
308:
304:
300:
294:
291:
287:
284:
282:
279:
277:
274:
273:
272:
271:
266:
263:
262:
260:
259:
256:
252:
247:
244:
242:
239:
237:
234:
232:
229:
227:
224:
223:
222:
221:
218:
214:
209:
206:
204:
201:
199:
196:
194:
191:
189:
186:
184:
181:
179:
176:
174:
171:
169:
166:
164:
161:
159:
156:
154:
151:
149:
146:
144:
141:
139:
136:
135:
134:
133:
130:
127:
123:
119:
115:
111:
110:
107:
103:
96:
93:
87:
83:
77:
55:
51:
46:
42:
38:
37:multi-monitor
34:
28:
23:
3190:Stockbrokers
3093:
3039:Pension fund
2964:Growth stock
2886:institutions
2751:Asset growth
2637:Tender offer
2557:Public float
2527:Market trend
2517:Market depth
2337:Growth stock
2311:Buy and hold
2220:(Cap-to-GDP)
2060:Floor trader
2050:Market maker
2033:Floor broker
2021:Participants
1964:Golden share
1959:Common stock
1935:Third market
1864:. Retrieved
1850:
1838:. Retrieved
1823:
1811:
1802:
1793:
1781:. Retrieved
1777:
1767:
1747:
1737:
1725:. Retrieved
1721:
1711:
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408:independence
168:Student loan
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60:Share broker
33:stock trader
3154:Toxic asset
3094:Stockbroker
3079:Speculation
3029:Mutual fund
3019:Market risk
2926:social work
2876:engineering
2721:Super angel
2642:Uptick rule
2622:Stock split
2602:Squeeze-out
2597:Speculation
2542:Open outcry
2431:Block trade
2363:Pairs trade
1818:, cfauk.org
1783:February 2,
1201:Mutual fund
1066:South Korea
1060:South Korea
1013:New Zealand
1007:New Zealand
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648:stockbroker
528:Cooperative
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480:Speculation
465:Market risk
193:Refinancing
183:Payday loan
163:Rent-to-own
153:Credit card
148:Charge card
56:Stockbroker
20:Stockbroker
3179:Categories
2911:regulation
2891:management
2801:Divestment
2647:Volatility
2627:Stock swap
2547:Order book
2298:strategies
2224:Book value
2092:Arbitrager
2087:Speculator
1866:October 9,
1840:October 9,
1727:October 9,
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1242:References
1117:See also:
956:Investment
843:See also:
698:such as a
664:commission
654:and other
331:allocation
307:investment
255:Retirement
208:Bankruptcy
178:Title loan
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2940:(Fintech)
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2841:Financial
2263:Fed model
2258:EV/EBITDA
2173:Dark pool
2104:Regulator
1949:Types of
1915:Types of
1179:fiduciary
1029:Singapore
1023:Singapore
958:Advisor.
919:Hong Kong
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872:fiduciary
856:Australia
850:Australia
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1088:(FCA).
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949:and the
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791:such as
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1836:Adviser
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3109:Stock
2861:crime
2856:asset
2657:Yield
2632:Trade
2567:Rally
2488:(IPO)
2376:(RMH)
2349:(MPT)
2328:(EMH)
2281:(SML)
2270:(NAV)
2244:(DDM)
2238:(CML)
2209:(APT)
2202:Alpha
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2163:(DMA)
2157:(ECN)
2151:(MTF)
2145:(ATS)
1667:(PDF)
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935:India
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860:RG146
793:Genoa
785:bonds
670:, or
485:Stock
393:asset
326:Asset
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2916:risk
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1868:2020
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