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Restricted Stock: Stock that must be traded in compliance with special SEC regulations concerning its purchase and resale. These restrictions generally result from affiliate ownership, M&A activity, and under . . . View Full Definition

Restricted Security: Restricted securities are stocks or warrants that you acquire privately, through stock options or a corporate merger, rather than by buying them in the open market. For example, you may rece . . . View Full Definition

144 Stock: Used in the context of general equities. Restricted stock.

Small-Capitalization Stock: Shares of relatively small publicly traded corporations with a total market capitalization of less than $2.3 billion are typically considered small-capitalization, or small-cap, stocks. That . . . View Full Definition

Shopped Stock: Sell inquiry that has been seen by or shown to other dealers before coming to an investment bank.

Split Stock: Two different ratings given to the same security by two important rating agencies.

Shareholders (Stockholders): Individuals or organizations that own a portion (shares of stock) of a corporation.

Stock: Stock is an equity investment that represents part ownership in a corporation and entitles you to part of that corporation's earnings and assets. Common stock gives shareholders voting right . . . View Full Definition

Statement Of Stockholders Equity: A financial statement that reports all changes in stockholders' equity.

Secondary Stocks: Stocks with smaller market capitalization, less quality and more risk than blue chip issues that behave differently than larger corporations' stocks.