Abbreviations and Acronyms
|
Amex or ASE |
American Stock Exchange |
|
BDW |
Broker-Dealer Withdrawal |
|
BSE |
Boston Stock Exchange |
|
CBOE |
Chicago Board Options Exchange |
|
CMA |
Continued Membership Application |
|
CRD |
Central Registration Depository |
|
CROP |
Compliance Registered Options Principal |
|
CHX |
Chicago Stock Exchange |
|
DRP |
Disclosure Reporting Page |
|
FAQS |
Firm Access Query System |
|
MI |
Membership Interview |
|
MSRB |
Municipal Securities Rulemaking Board |
|
NASAA |
North American Securities Administrators Association |
|
NMA |
New Membership Application |
|
NYSE |
New York Stock Exchange |
|
OSJ |
Office of Supervisory Jurisdiction |
|
PHLX |
Philadelphia Stock Exchange |
|
PME |
Pre-Membership Examination |
|
PCX |
Pacific Exchange |
|
SEC |
Securities and Exchange Commission |
|
SIA |
Securities Industry Association |
|
SIC |
Securities Information Center |
|
SIPC |
Securities Investor Protection Corporation |
|
SRO |
Self-Regulatory Organization |
|
SROP |
Senior Registered Options Principal |
