Category: C

A mathematical / organizational tool used to determine if data classification can be attributed to an underlying law / standard, repeated progression, or if it is solely existing by chance. This is

A process/structure within a BANK, INVESTMENT BANK, or SECURITIES FIRM that separates groups that call on clients and arrange deals (i.e., bankers) from those that are privy to nonpublic information related to

A person certified as lacking some physical or mental ability essential for living independently. A medical professional or social worker must makes this certification .

1. In the modern Western world, it is one of the two major legal systems; the other is common law. Taken from Roman law, it is used in continental Europe, their former

Freight rate based on similar shipping characteristics for goods grouped and classified as the same.

Data requiring protection from unauthorized disclosure.

A slang term. Denotes how an investment broker guarantees that accumulating quality investments meets the client’s best interests.

MARGIN posted by a CLEARING MEMBER with an EXCHANGE on behalf of clients or proprietary accounts. See also INITIAL MARGIN, VARIATION MARGIN.

1. To complete a deal, discussion, negotiation, or sales presentation. 2. Same meaning as closing price (Definition 2).

A sales message for goods or services limited to a specific consumer group. Example: a hotel’s special offer only to seniors over the age of 65 of a getaway weekend .

Shares owned by a specific few individuals, a family, or a specific small group.

In futures trading, a sale transacted to close out a position.

The shipping of goods or passengers by a ship registered in one country that occurs solely from port to port along the coast of another country. It is typically governed by the

Statistical test of (1) each agreement on events among two or more judges, or (2) of the consistency of two or more sets of rankings posted in a contest. Known also as

Analytical study of a group sharing several similar characteristics, such as habit of smoking or a particular disease. The study group is simultaneously monitored closely over time with another contrasting group, such

To share and institutionalize quantitative structured or qualitative unstructured information by using integrated software, such as Lotus notes or Microsoft Meetings. Such information would otherwise be lost as employees leave the firm,

A known employee or peer in the same profession, business or organization. Known also as coworker.

A specific quantity of a consumable item is stored at a customer’s premises, under agreement by the customer and owner-seller. The item is replaced, with the consent and knowledge of the customer,

Insurance for businesses to cover a forged check.

A 9 character number that is used to register a security in the US and Canada. Other countries have their own system similar to this one. Reer to International Securities Identification Numbering.