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Unit 16 - Types of orders and quotations (5qs) - Coggle Diagram
Unit 16 - Types of orders and quotations (5qs)
Types of customer orders
Price Restricted orders
Market orders at-the-market orders :check:
priority over over other long term orders
Limit orders
Stop orders
Stop Limit Order :check:
Orders reduced on Ex-date after stock dividend :check:
Time sensitive Orders
Good-til-canceled orders (GTC)
At-the-opening orders
market orders
Fill or Kill order (FOK)
Immediate or cancel order (IOC)
All-or-None orders (AON)
One cancels the other (OCO)
Time and Price discretion order
Not held order :check:
Quotations
Bids, Offers, Quotes
Negotiated Market
Firm Quote :check:
Subject Quote or Nominal Quotes
Qualified Quotes
Quotation Spread
Best Execution of Customer Orders
Orders involving Securities with Limited Quotations or Pricing information
Interpositioning :check:
Quotation Dissemination
Short Sales Rules
Short Sale Rules
Regulation SHO :check:
Insider Short Sale Regulations
Sell Order Tickets :check:
Borrowing Securities
Mark to Market :check:
Shorting Bonds
Extension of Credit in the Securities Industry
Types of Margin Accounts
Margin Account Agreements
Risk Disclosure
Regulation T
Marginable Securities :check:
Deadlines for meeting Margin Calls :check:
securities sold and account frozen for 90 days :check:
Exempt Securities
Initial Requirements :check:
Initial amount to deposit :check:
Margin Accounting
Long Margin Accounting (The Customer Owns the Security) :check:
Restricted Accounts
Maintenance Requirements: 30% :check:
Short market value (SMV) :check:
credit balance :check:
Margin formula :check:
Excess Equity and SMA :check:
Restricted account? → 50% of sale proceeds go to SMA.
Pattern Day Traders :check:
Short Sales and Margins Requirements
Margin Deposits
Analyzing short Margin Account Activity
Minimum Maintenance
Short Margin Account Math
Minimum Maintenance in a Short Account
Combined (Mixed) Margin Accounts
Options and Margin
Customer Portfolio Margining (CPM)
Marked daily :check:
Supervision for orders
FINRA
Order Audit Trail System (OATS) :check: