margin account
A brokerage account that allows an investor to buy or sell securities on credit, with the securities usu. serving as collateral for the broker’s loan.
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mortgage discount
mortgage discount 抵押折扣 抵押担保金额与抵押物实际售价之差，又称点数〔points〕、贷款经纪费〔loan brokerage fee〕或新贷款费〔new loan fee〕。
listing
listing n. (1)(不动产)代理协议 指不动产所有人与不动产经纪人订立的出售或出租其不动产的协议。根据该协议，经纪人同意按确定的价格和条件寻找买主或承租人，并收取费用或佣金。 (→brokerage listing；multiple listing；open listing) (2)(证券)上市合同；挂牌合同 指上市公司与证券交易所签订的使其证券在交易所上市交易的合同。 (3)上市；挂牌 指证券发行人向证券交易所申请登记后，其发行的证券取得上市交易资格，能在证券交易所内挂牌交易。 (4)(为纳税之目的)编制财产目录或清单
parking
parking. 1. The sale of securities subject to an agreement that the seller will buy them back at a later time for a similar price. • Parking is illegal if done to circumvent securities regulations or tax laws. It is often a method of evading the net-capital requirements of the National Association of Securities Dealers
dividend reinvestment plan
dividend-reinvestment plan. A stock-purchase program that allows investors to reinvest their dividends, and perhaps convert additional voluntary payments, into shares of the entity’s common stock, usu. with no sales charge, and sometimes at a discount from the stock’s market price. • Although the investor never receives the cash, it is still treated as income to
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real(-)estate broker
real(-)estate broker 不动产经纪人；房地产经纪人 指为收取佣金〔commission〕或中介费〔brokerage fee〕而代表一方当事人与他方当事人就房地产买卖、租赁、抵押等进行谈判磋商的人，属于代理人的一种。在美国，其须在从业地所在州领取执照。
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sweetener
sweetener. 1. An inducement offered to a brokerage firm to enter into an underwriting arrangement with an issuer. 2. A special stock feature (such as convertibility) that enhances the stock’s marketability.
mortgage discount
mortgage discount. The difference between the mortgage principal and the amount the mortgage actually sells for; the up-front charge by a lender at a real-estate closing for the costs of financing. • Although usu. paid by the buyer, the discount is sometimes paid by the seller when required by law, as with a VA mortgage.
commodity futures trading commission
Commodity Futures Trading Commission. A five-member federal commission that regulates trading in futures and options contracts and monitors the activities of commodity-exchange members, brokerage houses, commission-registered salespeople, and others associated with the industry. • The commission began operating in April 1975. 7 USCA § 2(a)(2). — Abbr. CFTC. [Cases: Commodity Futures Trading Regulation 51–61. C.J.S.
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central clearing system
central clearing system. A method of facilitating securities transactions in which an agent or subsidiary of an exchange acts as a clearinghouse for member brokerage firms by clearing their checks, settling their accounts, and delivering their payments. • Most transactions are reflected solely by computerized book entries, and clearing-house statements are submitted showing the net
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