securitiesterminology-证券金融类术语

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1、屮国证券监管管理委员会ChinaSecuritiesRegulatoryCommission(CSRC)股本资产equitycapital经纪商/□营商broker/dealer私冇交易业务proprietarytradingbusinesses直接进场("在线”)交易执行和清算服务directaccess("online")tradeexecutionandclearingservices股票、期权、期货、外汇、债券和基金stocks,options,futures,forex,bondsandfunds电子化交易的产品el

2、ectronicallytradedproducts夕卜国资产foreignequities注册登记号registerentrynumber零售和大宗客户retailandwholesaleclients红股bonusshare;红利;股息dividend蓝筹股bluechipstock红筹股redchipstock资本市场capitalmarket证券市场securitiesmarket发行人issuer公开发行publicoffering私募发行privateoffering;privateplacement发行价格iss

3、uingprice平价发彳亍facevalueissuing溢价发行premiumissuing折价发行discountedissuing新发行newissue发行日offeringdate股票、股权share;equity;stock个人投资者/散户retail/privateinvestor证券小介机构securitiesintermediaryi正券公司;券商securitiescompany;broker-dealer自营proprietarytrading招股说明书prospectus新股/初始公开发行initial

4、publicoffering(IPO)收购兼并mergerandacquisition资产重组reorganization证券发行审核制度verificationsystemforsecuritiesoffering已发彳亍％£通月殳issued-and-outstandingStocks认购比率subscript!onratio股东stockholders;principals登记Hrecorddate承乍肖underwriting承销团underwritingsyndication上市listingofsecurities

5、上市公司listedcompany被摘牌的公司被摘牌的公司delistedcompany上市辅导pre-listingtutoring上市推荐人listingsponsor证券交易tradingofsecurities主板市场mainboard二板市场secondboard创业板市场start-upboard高科技板块high-techsector场内交易onboardtransaction场外交易offboardtransact!on柜台交易over-the-countertransaction信用交易margintrans

6、action流动性liquidity;marketability流通性negotiability要价offer卖方要价offering(asked)Price场外委托off-floororder场内委托on-floororde对敲指令matchedorders市场价格marketprice市场价值marketvalue面值facevalue除息日ex-dividend(XD)(withoutdividend)date到期Hexpirationdate除权ex-right(XRT)彳亍情显示onthetape股市彳亍情theup

7、sanddownsofthestockmarket大盘thebigboard行情看涨Bullish行情看跌Bearish股价指数index成份指数componentindexCAC-40Index法国巴黎CAC-40指数道琼斯工业指数DowJonesindustrialaverage(DJIA)徳国法兰克福DAX指数FrankfurtDAXIndex英国伦敦金融时报指数London'sFTSE100那斯达克NASDAQ,NationalAssociationofSecuritiesDealAutomatedQuotations

8、日经指数NikkeiIndex拉塞尔2000指数theRussell2000标准普尔500指数theStandardandPoor's500交易授权tradingauthorization当日委托指令dayorder竞价系统ask-bidsystem开盘价opening开盘委