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Home Dictionary O Order Audit Trail System (OATS) The Order Audit Trail System (OATS) is a computerized regulatory mechanism that maintains detailed records of securities transactions. OATS requires FINRA member firms to automatically register and report orders to FINRA. OATS was created to facilitate the tracking and verification of orders if necessary; for example, in the event of a trading error or suspected market manipulation. Individual traders and investors are not required to provide OATS data to FINRA. This is the job of a broker or member firm that processes client orders. American Stock Exchange (AMEX)
September 25, 2022 The American Stock Exchange (AMEX) was once the third largest stock exchange in the US. Amsterdam Stock Exchange (AEX)
September 25, 2022 The Amsterdam Stock Exchange, founded in 1602, is considered one of the oldest stock exchanges in the world. Bear Market
September 25, 2022 Bear markets occur when market prices decline by more than 20%, often accompanied by negative investor sentiment and a deteriorating economic outlook. DAX Stock Index
September 25, 2022 DAX is a German blue-chip stock market index that tracks the performance of the top 40 companies listed on the Frankfurt Stock Exchange. Dow Jones Industrial Average (DJIA)
September 25, 2022 The Dow Jones Industrial Average (DJIA) is a well-known US benchmark index for blue chip stocks. Earnings Estimate
September 25, 2022 An earnings estimate is an analyst’s forecast of a public company’s future quarterly or annual earnings per share (EPS). Equity Capital Market (ECM)
September 25, 2022 Equity capital markets (ECM) refer to a wide network of financial institutions, channels and markets that together help companies raise capital. Equity Market
September 25, 2022 Stock markets are a meeting place for issuers and buyers of shares in a market economy. Financial Times Stock Exchange Group (FTSE)
September 25, 2022 The Financial Times Stock Exchange Group (FTSE) is a financial institution that specializes in managing asset exchanges and creating index offerings for global financial markets. Free-Float Methodology
September 25, 2022 The free-float methodology is a method of calculating the market capitalization of the companies underlying the stock market index. Jakarta Stock Exchange
September 25, 2022 Indonesian Stock Exchange (IDX) is a securities trading company in Indonesia. Medallion Signature Guarantee
September 25, 2022 The signature of the medallion guarantees that the signature of the authorized person for the transfer of securities is genuine. Over-the-Counter Exchange of India (OTCEI)
September 25, 2022 The OTC Exchange of India (OTCEI) is an Indian electronic stock exchange comprised of small and mid-cap companies. Pink Sheets
September 25, 2022 Pink sheets are lists of stocks that are traded on the over-the-counter (OTC) market. Pre-Market
September 25, 2022 Premarket trading is trading that takes place from 4:00 AM to 9:30 AM EST. Qualified Foreign Institutional Investor (QFII)
September 25, 2022 Launched in 2002 by the Chinese government, the Qualified Foreign Institutional Investor (QFII) program allows certain licensed international investors to invest in China’s stock exchanges. Self-Regulatory Organization (SRO)
September 25, 2022 A self-regulatory organization (SRO) is an organization that has the right to establish industry standards and rules on its own. Stock Market Crash
September 25, 2022 A stock market crash is a sharp drop in stock prices that can trigger an extended bear market or signal upcoming economic problems. Tokyo Price Index (TOPIX)
September 25, 2022 The Tokyo Price Index, known as TOPIX, is a Japanese stock market index calculated and published by the Tokyo Stock Exchange (TSE). U-Shaped Recovery
September 25, 2022 A U-shaped recovery is so called because during these periods the main indicators of economic activity take the form of the letter “U”. Vancouver Stock Exchange (VAN)
September 25, 2022 The Vancouver Stock Exchange (VAN) is a now defunct Canadian stock exchange founded in 1903 and based in Vancouver. Warsaw Stock Exchange (WSE)
September 25, 2022 The Warsaw Stock Exchange (WSE) was founded in 1991 after the overthrow of the communist regime in Poland three years earlier. Weekend Effect
September 25, 2022 The weekend effect is a phenomenon in the financial markets in which stock returns on Mondays are often significantly lower than on the immediately preceding Friday. Xetra
September 25, 2022 Xetra is a trading technology platform operated by the Deutsche Börse group. 10-K Wrap
September 25, 2022 The 10-K wrapper is part of a larger annual performance document required by the SEC.