Cost Basis

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Across
  1. 1. Person who contracts with a clearing firm to handle the execution and settlement of orders that the introducing firm receives from its clients or its own trading desk to buy and sell securities. In other ways A preson or firm that buys and sells from his or her own inventory of securities as well as for others
  2. 4. is a form of retirement plan that provides tax advantages for retirement savings in the United States
  3. 7. The percentage of the original principal that is left to be distributed in a mortgage-backed security
  4. 8. On 20th Jan 2012, Account ‘A’ received 100 shares. What is the term used to denote the day Jan 17th
  5. 9. A component part of a cusip
  6. 11. An organization accepts a customer's financial assets and holds them on behalf of the customer at his or her discretion
  7. 12. The cost at which a share was sold
  8. 13. The securities, property and other assets that held by a person or company
  9. 14. The cost at which a trade was settled
  10. 16. Safest contract between two parties for a future transaction on an asset at a reference price
  11. 17. The day on which buy/sell entered into PORT
  12. 20. An investment vehicle that is made up of a pool of funds collected from many investors to buy stocks, bonds, short-term money market instruments, and/or other securities
  13. 21. Person who executes orders on behalf of his/her client
  14. 22. Securities not owned by an investor, Relevant only when you sell
  15. 23. "The Big Board" - provides a means for buyers and sellers to trade shares of stock in companies registered for public trading. World’s largest stock exchange
Down
  1. 1. An individual who has passed the NASD's registration process and is therefore licensed to work in the securities industry
  2. 2. world’s largest post-trade financial services company
  3. 3. a)12th Jan 2010 10 Buy b)12th Mar 2011 20 Buy c)20th Dec 2011 15 Buy d)10th Jan 2012 05 Sell. What is the disposal method used when 5 shares are sold from 12th Jan 2010
  4. 5. Account ‘A’ from Pershing gifted 10 shares to account ‘B’ in Merrill Lynch. What is the term used to denote account B?
  5. 6. System in which all non-NSCC transfers settlement takes place
  6. 10. Unique reference number for a transaction
  7. 15. Uniquely identifies a foreign security
  8. 18. A record keeping technique that traces the dates of purchase and sale, cost basis, and transaction size for each security in your portfolio, even if you make more than one trade in the same security.
  9. 19. An identification number assigned to all stocks, MF, options, registered bonds, etc.,
  10. 20. A type of trade, Allows its clients to buy securities with money borrowed from the broker