Super Finance Glossary
Over 10,000 financial glossary terms...
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Exchangeable Security
Definition: Investment instrument that grants its holder the right to exchange it for the common stock of a firm other than the issuer of the instrument.
Definition: Investment instrument that grants its holder the right to exchange it for the common stock of a firm other than the issuer of the instrument.
Exchanged Traded Option (XT)
Definition: Exchange traded options are similar to normal options - they are traded on the floor of an exchange or electronically and have a market price like other financial instruments. OTC options, are constructed to meet a clients needs, so prices for these can only be obtained by approaching a financial institution.
Definition: Exchange traded options are similar to normal options - they are traded on the floor of an exchange or electronically and have a market price like other financial instruments. OTC options, are constructed to meet a clients needs, so prices for these can only be obtained by approaching a financial institution.
Excise Tax
Definition: Federal or state tax placed on the sale or manufacture of a commodity, typically a luxury item e.g., alcohol.
Definition: Federal or state tax placed on the sale or manufacture of a commodity, typically a luxury item e.g., alcohol.
Excluded Commodity
Definition: In general, the Commodity Exchange Act defines an excluded commodity as: any financial instrument such as a security, currency, interest rate, debt instrument, or credit rating; any economic or commercial index other than a narrow-based commodity index; or any other value that is out of the control of participants and is associated with an economic consequence. See the CEA definition of excluded commodity.
Definition: In general, the Commodity Exchange Act defines an excluded commodity as: any financial instrument such as a security, currency, interest rate, debt instrument, or credit rating; any economic or commercial index other than a narrow-based commodity index; or any other value that is out of the control of participants and is associated with an economic consequence. See the CEA definition of excluded commodity.
Exclusionary Self-tender
Definition: A firm's offer to buy a given amount of its own stock while excluding targeted stockholders.
Definition: A firm's offer to buy a given amount of its own stock while excluding targeted stockholders.
Exclusive
Definition: In the context of general equities, having sole possession of the customer order/indication; not in competition with other dealers.
Definition: In the context of general equities, having sole possession of the customer order/indication; not in competition with other dealers.
Execution
Definition: The process of completing an order to buy or sell securities. Once a trade is executed, it is reported by a Confirmation Report; settlement (payment and transfer of ownership) occurs in the U.S. between one (mutual funds) and three (stocks) days after an order is executed. The time varies greatly across countries. In France, for example settlements are only once per month.
Definition: The process of completing an order to buy or sell securities. Once a trade is executed, it is reported by a Confirmation Report; settlement (payment and transfer of ownership) occurs in the U.S. between one (mutual funds) and three (stocks) days after an order is executed. The time varies greatly across countries. In France, for example settlements are only once per month.
Execution Costs
Definition: The difference between the execution price of a security and the price that would have existed in the absence of a trade, which can be further divided into market impact costs and market timing costs.
Definition: The difference between the execution price of a security and the price that would have existed in the absence of a trade, which can be further divided into market impact costs and market timing costs.
Executor
Definition: An individual or trust institution nominated in a will and appointed by a court to settle the estate of a deceased person.
Definition: An individual or trust institution nominated in a will and appointed by a court to settle the estate of a deceased person.
Exempt (from Withholding)
Definition: Free from withholding of federal income tax. A person must meet certain income, tax liability, and dependency criteria. This does not exempt a person from other kinds of tax withholding, such as the Social Security tax.
Definition: Free from withholding of federal income tax. A person must meet certain income, tax liability, and dependency criteria. This does not exempt a person from other kinds of tax withholding, such as the Social Security tax.
Exempt Board Of Trade
Definition: A trading facility that trades commodities (other than securities or securities indexes) having a nearly inexhaustible deliverable supply and either no cash market or a cash market so liquid that any contract traded on the commodity is highly unlikely to be susceptible to manipulation . An exempt board of trade's contracts must be entered into by parties that are eligible contract participants.
Definition: A trading facility that trades commodities (other than securities or securities indexes) having a nearly inexhaustible deliverable supply and either no cash market or a cash market so liquid that any contract traded on the commodity is highly unlikely to be susceptible to manipulation . An exempt board of trade's contracts must be entered into by parties that are eligible contract participants.
Exempt Commercial Market
Definition: An electronic trading facility that trades exempt commodities on a principal-to-principal basis solely between persons that are eligible commercial entities.
Definition: An electronic trading facility that trades exempt commodities on a principal-to-principal basis solely between persons that are eligible commercial entities.
Exempt Commodity
Definition: The Commodity Exchange Act defines an exempt commodity as any commodity other than an Excluded Commodity or an agricultural commodity. Examples include energy commodities and metals.
Definition: The Commodity Exchange Act defines an exempt commodity as any commodity other than an Excluded Commodity or an agricultural commodity. Examples include energy commodities and metals.
Exempt Foreign Firm
Definition: A foreign firm that does business with US customers only on foreign exchanges and is exempt from registration under CFTC regulations based upon compliance with its home country's regulatory framework (also known as a "Rule 30.10 firm"). See CFTC Backgrounder : Regulatory and Self-Regulatory Authorities That Have Received Exemptions Under CFTC Rule 30.10.
Definition: A foreign firm that does business with US customers only on foreign exchanges and is exempt from registration under CFTC regulations based upon compliance with its home country's regulatory framework (also known as a "Rule 30.10 firm"). See CFTC Backgrounder : Regulatory and Self-Regulatory Authorities That Have Received Exemptions Under CFTC Rule 30.10.
Exempt List
Definition: Sophisticated investors, usually institutional investors, who are considered informed enough that new issues can be marketed to them without a prospectus. This exemption reduces the cost of private placements.
Definition: Sophisticated investors, usually institutional investors, who are considered informed enough that new issues can be marketed to them without a prospectus. This exemption reduces the cost of private placements.
Exempt Securities
Definition: Instruments exempt from the registration requirements of the Securities Act of 1933 or the margin requirements of the SEC Act of 1934. Such securities include government bonds, agencies, munis, commercial paper, and private placements.
Definition: Instruments exempt from the registration requirements of the Securities Act of 1933 or the margin requirements of the SEC Act of 1934. Such securities include government bonds, agencies, munis, commercial paper, and private placements.
Exemption Amount
Definition: Amount that taxpayers can claim for themselves, their spouses, and eligible dependents. There are two types of exemptions-personal and dependency. Each exemption reduces the income subject to tax. The exemption amount is a set amount that changes from year to year.
Definition: Amount that taxpayers can claim for themselves, their spouses, and eligible dependents. There are two types of exemptions-personal and dependency. Each exemption reduces the income subject to tax. The exemption amount is a set amount that changes from year to year.
Exemptions
Definition: Amount that taxpayers can claim for themselves, their spouses, and eligible dependents. There are two types of exemptions-personal and dependency. Each exemption reduces the income subject to tax. The exemption amount is a set amount that changes from year to year.
Definition: Amount that taxpayers can claim for themselves, their spouses, and eligible dependents. There are two types of exemptions-personal and dependency. Each exemption reduces the income subject to tax. The exemption amount is a set amount that changes from year to year.
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