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 Procedures