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Browsing by the letter "U"
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Unlisted Trading
Definition: Trading in unlisted securities that occurs on an organized exchange to accommodate members. This practice is not permitted at the NYSE.
Definition: Trading in unlisted securities that occurs on an organized exchange to accommodate members. This practice is not permitted at the NYSE.
Unloading
Definition: Selling securities or commodities whose prices are dropping to minimize loss.
Definition: Selling securities or commodities whose prices are dropping to minimize loss.
Unmatched Book
Definition: If the average maturity of a bank's liabilities is shorter than that of its assets, it is said to be running an unmatched book. The term is commonly used with the Euromarket. Also refers to entering into OTC derivatives contracts and not hedging by making trades in the opposite direction to another financial intermediary. In this case, the firm with an unmatched book usually hedges its net market risk with futures and options. Related expressions: Open book and short book.
Definition: If the average maturity of a bank's liabilities is shorter than that of its assets, it is said to be running an unmatched book. The term is commonly used with the Euromarket. Also refers to entering into OTC derivatives contracts and not hedging by making trades in the opposite direction to another financial intermediary. In this case, the firm with an unmatched book usually hedges its net market risk with futures and options. Related expressions: Open book and short book.
Unpaid Dividend
Definition: A dividend declared by the directors of a corporation that has not yet been paid.
Definition: A dividend declared by the directors of a corporation that has not yet been paid.
Unqualified Opinion
Definition: An independent auditor's opinion that a company's financial statements comply with accepted accounting procedures. Antithesis of qualified opinion.
Definition: An independent auditor's opinion that a company's financial statements comply with accepted accounting procedures. Antithesis of qualified opinion.
Unrealized Capital Gain/loss
Definition: An increase/decrease in the value of a security that is not "real" because the security has not been sold. Once a security is sold by the portfolio manager, the capital gains/losses are "realized" by the fund, and any payment to the shareholder is taxable during the tax year in which the security is sold.
Definition: An increase/decrease in the value of a security that is not "real" because the security has not been sold. Once a security is sold by the portfolio manager, the capital gains/losses are "realized" by the fund, and any payment to the shareholder is taxable during the tax year in which the security is sold.
Unseasoned Issue
Definition: Issue of a security for which there is no existing market. See: Seasoned issue.
Definition: Issue of a security for which there is no existing market. See: Seasoned issue.
Unsecured Debt
Definition: Debt that does not identify specific assets that the debtholder is entitled to in case of default.
Definition: Debt that does not identify specific assets that the debtholder is entitled to in case of default.
Unsterilized Intervention
Definition: Foreign exchange market intervention in which the monetary authorities have not insulated their domestic money supplies from the foreign exchange transactions.
Definition: Foreign exchange market intervention in which the monetary authorities have not insulated their domestic money supplies from the foreign exchange transactions.
Unsystematic Risk
Definition: Also called the diversifiable risk or residual risk. The risk that is unique to a company such as a strike, the outcome of unfavorable litigation, or a natural catastrophe that can be eliminated through diversification. Related: Systematic risk.
Definition: Also called the diversifiable risk or residual risk. The risk that is unique to a company such as a strike, the outcome of unfavorable litigation, or a natural catastrophe that can be eliminated through diversification. Related: Systematic risk.
Unwind A Trade
Definition: Reverse a securities transaction through an offsetting transaction in the market.
Definition: Reverse a securities transaction through an offsetting transaction in the market.
Up
Definition: Market indication; willingness to go both ways (buy or sell) at the mentioned volume and market. Print; up on the ticker tape, confirming that the trade has been executed.
Definition: Market indication; willingness to go both ways (buy or sell) at the mentioned volume and market. Print; up on the ticker tape, confirming that the trade has been executed.
Up Volume
Definition: When a stock closes increases in value on a particular day, the volume in that stock is considered up volume. Related: Down volume.
Definition: When a stock closes increases in value on a particular day, the volume in that stock is considered up volume. Related: Down volume.
Upgrading
Definition: Raising the quality rating of a security because of new optimism about the prospects of a firm due to tangible or intangible factors. This can increase investor confidence and push up the price of the security.
Definition: Raising the quality rating of a security because of new optimism about the prospects of a firm due to tangible or intangible factors. This can increase investor confidence and push up the price of the security.
Upset Price
Definition: The minimum price at which a seller of property will accept a bid at an auction.
Definition: The minimum price at which a seller of property will accept a bid at an auction.
Upside Potential
Definition: The amount by which analysts or investors expect the price of a security may increase.
Definition: The amount by which analysts or investors expect the price of a security may increase.
Upstairs Market
Definition: A network of trading desks for the major brokerage firms and institutional investors, which communicate with each other by means of electronic display systems and telephones to facilitate block trades and program trades.
Definition: A network of trading desks for the major brokerage firms and institutional investors, which communicate with each other by means of electronic display systems and telephones to facilitate block trades and program trades.
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