´╗┐Glossary

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Glossary

ACATS
Automated Customer Account Transfer Service

ACT
Automated Confirmation Transaction (Service)

AMEX
American Stock & Options Exchange

BCP
Business Continuity Plan

CBOT
Chicago Board of Trade

CCO
Chief Compliance Officer

CRCP
Certified Regulatory and Compliance Professional

CRD
Central Registration Depository

CROP
Compliance Registered Options Principal

CUSIP
Committee on Uniform Security Identification Procedures

DPP
Direct Participation Program

DRP
Disclosure Reporting Page

ECN
Electronic Communication Network

EDGAR
Electronic Data Gathering, Analysis and Retrieval

EIA
Equity Indexed Annuity

ENC
Excess Net Capital

FINRA
Financial Industry Regulatory Authority

FIPS
Fixed Income Pricing System

GAAP
Generally Accepted Accounting Principles

lARD
Investment Advisor Registration Depository

IPO
Initial Public Offering

MSRB
Municipal Securities Rulemaking Board

NAF
New Account Form

NASAA
North American Securities Administrators Association

NSCC
National Securities Clearing Corporation

NTM
Notice to Members

NYSE
New York Stock Exchange

OATS
Order Audit Trail System

OCC
Options Clearing Corporation

OFAC
Office of Foreign Asset Control

OSJ
Office of Supervisory Jurisdiction

OTC
Over the Counter

PCAOB
Public Company Accounting Oversight Board

REIT
Real Estate Investment Trust

RIA
Registered Investment Advisor

SEC
Securities and Exchange Commission

SIA
Securities Industry Association

SIPC
The Securities Investor Protection Corporation

SOES
Small Order Execution System

SRO
Self Regulatory Organization

SROP
Senior Registered Options Principal

TRACE
Transaction Reporting and Compliance Engine

UIT
Unit Investment Trust

WSP
Written Supervisory Procedure