77 relations: Active management, Arbitrage, Attorney General of New York, Blue sky law, Board of directors, Broker, Closed-end fund, Commission (remuneration), Common stock, Convertible security, Cornell Law School, Corporate bond, Custodian bank, Defined contribution plan, Diversification (finance), Dividend, Dutch Republic, Eliot Spitzer, Exchange-traded fund, Financial crisis, Financial crisis of 2007–2008, Flow-through entity, Fund administration, Fund derivative, Fund of funds, Global assets under management, Hedge fund, High-yield debt, Index fund, Individual retirement account, Initial public offering, Internal Revenue Code, Investment Advisers Act of 1940, Investment Company Act of 1940, Investment fund, John C. Bogle, Late trading, Lipper average, List of mutual-fund families in Canada, List of mutual-fund families in the United States, List of US mutual funds by assets under management, Market timing, Market trend, MFS Investment Management, Money market, Money market fund, Municipal bond, Mutual fund fees and expenses, Mutual funds in India, National Securities Markets Improvement Act of 1996, ..., Net asset value, New York Stock Exchange, Open-end fund, Orders of magnitude (numbers), Prospectus (finance), Raj Rajaratnam/Galleon Group, Anil Kumar, and Rajat Gupta insider trading cases, Registered Investment Adviser, Retirement plans in the United States, Revenue Act of 1936, Rights of accumulation, Savings account, Securities Act of 1933, Securities Exchange Act of 1934, Security (finance), Separately managed account, Stock exchange, Target date fund, The Vanguard Group, Trade (financial instrument), Trustee, Undertakings for Collective Investment in Transferable Securities Directive 2009, Unit investment trust, United States Congress, Value investing, Wall Street Crash of 1929, 2003 mutual fund scandal, 401(k). Expand index (27 more) » « Shrink index
Active management (also called active investing) refers to a portfolio management strategy where the manager makes specific investments with the goal of outperforming an investment benchmark index.
In economics and finance, arbitrage is the practice of taking advantage of a price difference between two or more markets: striking a combination of matching deals that capitalize upon the imbalance, the profit being the difference between the market prices.
The Attorney General of New York is the chief legal officer of the State of New York and head of the New York state government's Department of Law.
A blue sky law is a state law in the United States that regulates the offering and sale of securities to protect the public from fraud.
A board of directors is a recognized group of people who jointly oversee the activities of an organization, which can be either a for-profit business, nonprofit organization, or a government agency.
A broker is an individual person who arranges transactions between a buyer and a seller for a commission when the deal is executed.
A closed-end fund (CEF) or closed-ended fund is a collective investment model based on issuing a fixed number of shares which are not redeemable from the fund.
The payment of commission as remuneration for services rendered or products sold is a common way to reward sales people.
Common stock is a form of corporate equity ownership, a type of security.
A convertible security is a security that can be converted into another security.
Cornell Law School is the law school of Cornell University, a private Ivy League university located in Ithaca, New York.
A corporate bond is a bond issued by a corporation in order to raise financing for a variety of reasons such as to ongoing operations, M&A, or to expand business.
A custodian bank, or simply custodian, is a specialized financial institution responsible for safeguarding a firm's or individual's financial assets and is not engaged in "traditional" commercial or consumer/retail banking such as mortgage or personal lending, branch banking, personal accounts, automated teller machines (ATMs) and so forth.
A defined contribution (DC) plan is a type of retirement plan in which the employer, employee or both make contributions on a regular basis.
In finance, diversification is the process of allocating capital in a way that reduces the exposure to any one particular asset or risk.
A dividend is a payment made by a corporation to its shareholders, usually as a distribution of profits.
The Dutch Republic was a republic that existed from the formal creation of a confederacy in 1581 by several Dutch provinces (which earlier seceded from the Spanish rule) until the Batavian Revolution in 1795.
Eliot Laurence Spitzer (born June 10, 1959) is a retired American politician, attorney, and educator.
An exchange-traded fund (ETF) is an investment fund traded on stock exchanges, much like stocks.
A financial crisis is any of a broad variety of situations in which some financial assets suddenly lose a large part of their nominal value.
The financial crisis of 2007–2008, also known as the global financial crisis and the 2008 financial crisis, is considered by many economists to have been the worst financial crisis since the Great Depression of the 1930s.
A flow-through entity (FTE) is a legal entity where income "flows through" to investors or owners; that is, the income of the entity is treated as the income of the investors or owners.
Fund administration is the name given to the set of activities that are carried out in support of the actual process of running a collective investment scheme, whether the scheme is a traditional mutual fund, a hedge fund, Pension fund, unit trust or something in between.
A fund derivative is a financial structured product related to a fund, normally using the underlying fund to determine the payoff.
A "fund of funds" (FOF) is an investment strategy of holding a portfolio of other investment funds rather than investing directly in stocks, bonds or other securities.
Global assets under management consists of assets held by asset management firms, pension funds, sovereign wealth funds, hedge funds, and private equity funds.
A hedge fund is an investment fund that pools capital from accredited individuals or institutional investors and invests in a variety of assets, often with complex portfolio-construction and risk-management techniques.
In finance, a high-yield bond (non-investment-grade bond, speculative-grade bond, or junk bond) is a bond that is rated below investment grade.
An index fund (also index tracker) is a mutual fund or exchange-traded fund (ETF) designed to follow certain preset rules so that the fund can a specified basket of underlying investments.
An individual retirement account (IRA) is a form of "individual retirement plan", provided by many financial institutions, that provides tax advantages for retirement savings in the United States.
Initial public offering (IPO) or stock market launch is a type of public offering in which shares of a company are sold to institutional investors and usually also retail (individual) investors; an IPO is underwritten by one or more investment banks, who also arrange for the shares to be listed on one or more stock exchanges.
The Internal Revenue Code (IRC), formally the Internal Revenue Code of 1986, is the domestic portion of federal statutory tax law in the United States, published in various volumes of the United States Statutes at Large, and separately as Title 26 of the United States Code (USC).
The Investment Advisers Act of 1940, codified at through, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law.
The Investment Company Act of 1940 is an act of Congress.
An investment fund is a way of investing money alongside other investors in order to benefit from the inherent advantages of working as part of a group.
John Clifton "Jack" Bogle (born May 8, 1929) is an American investor, business magnate, and philanthropist.
Late trading is trading executed after the standard local national exchanges have closed.
Lipper Average also known as Lipper Index are a series of indices produced by Lipper, a subsidiary of Thomson Reuters, that establish benchmarks to measure the performance of a portfolio, or of various mutual funds and exchange-traded funds.
This is a list of mutual-fund families in Canada ranked by Canadian mutual fund assets under management (AUM), as of May 31, 2008.
The following is a limited list of mutual-fund families in the United States.
This is a list of mutual funds and ETFs in the United States ordered by assets under management as of March 31, 2016.
Market timing is the strategy of making buy or sell decisions of financial assets (often stocks) by attempting to predict future market price movements.
A market trend is a perceived tendency of financial markets to move in a particular direction over time.
MFS Investment Management (MFS) is an American-based global investment manager, formerly known as Massachusetts Financial Services.
As money became a commodity, the money market became a component of the financial markets for assets involved in short-term borrowing, lending, buying and selling with original maturities of one year or less.
A money market fund (also called a money market mutual fund) is an open-ended mutual fund that invests in short-term debt securities such as US Treasury bills and commercial paper.
A municipal bond, commonly known as a Muni Bond, is a bond issued by a local government or territory, or one of their agencies.
Mutual fund fees and expenses are charges that may be incurred by investors who hold mutual funds.
The first introduction of a mutual fund in India occurred in 1963, when the Government of India launched Unit Trust of India (UTI).
The National Securities Markets Improvement Act of 1996 is an amendment to United States federal securities laws in order to promote efficiency and capital formation in the financial markets, and to amend the Investment Company Act of 1940 to promote more efficient management of mutual funds, protect investors, and provide more effective and less burdensome regulation between states and the Federal Government.
Net asset value (NAV) is the value of an entity's assets minus the value of its liabilities, often in relation to open-end or mutual funds, since shares of such funds registered with the U.S. Securities and Exchange Commission are redeemed at their net asset value.
The New York Stock Exchange (abbreviated as NYSE, and nicknamed "The Big Board"), is an American stock exchange located at 11 Wall Street, Lower Manhattan, New York City, New York.
Open-end fund (or open-ended fund) is a collective investment scheme that can issue and redeem shares at any time.
This list contains selected positive numbers in increasing order, including counts of things, dimensionless quantity and probabilities.
A prospectus, in finance, is a disclosure document that describes a financial security for potential buyers.
The Raj Rajaratnam/Galleon Group, Anil Kumar, and Rajat Gupta insider trading cases are parallel and related civil and criminal actions by the United States Securities and Exchange Commission and the United States Department of Justice against three friends and business partners: Galleon hedge fund founder-owner Raj Rajaratnam and former McKinsey & Company senior executives Anil Kumar and Rajat Gupta.
A Registered Investment Adviser (RIA) is a firm that is an Investment adviser in the United States, registered as such with the Securities and Exchange Commission or a state's securities agency.
A retirement plan is a financial arrangement designed to replace employment income upon retirement.
The Revenue Act of 1936, (June 22, 1936), established an "undistributed profits tax" on corporations in the United States.
The Right of Accumulation is an investment term for mutual fund transactions, that allows an investor to get lower sales charges on multiple transactions, instead of requiring a single transaction to be over a given amount.
A savings account is a deposit account held at a retail bank that pays interest but cannot be used directly as money in the narrow sense of a medium of exchange (for example, by writing a cheque).
The United States Congress enacted the Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, or the '33 Act, Title I of Pub.
The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (codified at et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America.
A security is a tradable financial asset.
In the investment management industry, a separately managed account (SMA) is any of several different types of investment accounts.
A stock exchange, securities exchange or bourse, is a facility where stock brokers and traders can buy and sell securities, such as shares of stock and bonds and other financial instruments.
A target date fund (TDF) – also known as a lifecycle, dynamic-risk or age-based fund – is a collective investment scheme, often a mutual fund or a collective trust fund, designed to provide a simple investment solution through a portfolio whose asset allocation mix becomes more conservative as the target date (usually retirement) approaches.
The Vanguard Group is an American registered investment advisor based in Malvern, Pennsylvania with over $5.1 trillion in assets under management.
In finance, a trade is an exchange of a security (stocks, bonds, commodities, currencies, derivatives or any valuable financial instrument) for "cash", typically a short-dated promise to pay in the currency of the country where the 'exchange' is located.
Trustee (or the holding of a trusteeship) is a legal term which, in its broadest sense, is a synonym for anyone in a position of trust and so can refer to any person who holds property, authority, or a position of trust or responsibility for the benefit of another.
The Undertakings for Collective Investment in Transferable Securities Directive is a consolidated EU Directive, that allows collective investment schemes to operate freely throughout the EU on the basis of a single authorisation from one member state.
In U.S. financial law, a unit investment trust (UIT) is an exchange-traded mutual fund offering a fixed (unmanaged) portfolio of securities having a definite life.
The United States Congress is the bicameral legislature of the Federal government of the United States.
Value investing is an investment paradigm which generally involves buying securities that appear underpriced by some form of fundamental analysis, though it has taken many forms since its inception.
The Wall Street Crash of 1929, also known as Black Tuesday (October 29), the Great Crash, or the Stock Market Crash of 1929, began on October 24, 1929 ("Black Thursday"), and was the most devastating stock market crash in the history of the United States, when taking into consideration the full extent and duration of its after effects.
The mutual fund scandal of 2003 was the result of the discovery of illegal late trading and market timing practices on the part of certain hedge fund and mutual fund companies.
In the United States, a 401(k) plan is the tax-qualified, defined-contribution pension account defined in subsection 401(k) of the Internal Revenue Code.