Dr. Harvey's Financial Glossary

Saturday, May 17, 2008

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In play: Often used in risk arbitrage. Company that has become the target_company of a takeover, and whose stock has now become a speculative issue.
In the box: Means that a dealer has a wire receipt for securities, indicating that effective delivery on them has been made.
In the hole: Used in the context of general equities. Below the inside market when one is attempting to sell the stock ; at a significant discount. Antithesis of premium.
In the middle: Used in the context of general equities. At a price exactly in between the bid and offer prices.
In the tank: Used in the context of general equities. Slang expression meaning market prices are dropping rapidly.
In touch with: Used in the context of general equities. Having a sell inquiry in a stock (not a firm customer sell order), often entailing a capital commitment. Antithesis of looking for.
Inactive asset: Asset not used in a productive manner at all times.
Inactive post: trading_posts on NYSE floor where inactive, lightly traded stocks are traded in 10-share lots as opposed to 100-share lots.
Inactive stock/bond: A security that trades in very small volume on a daily basis. See: Illiquid.
In-and-out trader: A daytrader, or a speculator who buys and sells the same security on the same day.
Incentive fee: Compensation paid to commodities trading advisers or to any practitioner who achieves above-average returns. Sometimes called performance fee.
Incentive Stock Option (ISO): An Option that has met certain tax requirements entitling the optionee to favorable tax treatment. Such an option is free from regular tax at the date of grant and the date of exercise (when a non-qualified option would become taxable). If two holding period tests are met (two years between grant date and sale date and one year between the exercise date and sale date), the profit on the option qualifies as a long term capital gain rather than ordinary income. If the holding periods are not met, there has been a "disqualifying disposition".
Incestuous share dealing: Trading of shares between companies in order to create a tax or financial benefit for the companies involved.
Incipient default: Potential default.
Income baskets: Category to which certain income is allocated. Losses in one basket may not be used to offset gains in another basket. Specified in U.S. tax code.
Income beneficiary: One who receives income from a trust.
Income bond: A bond whose payment of interest is contingent on sufficient earnings. These bonds are commonly used during the reorganization of a failed or business_failure.
Income dividend: Any payout to mutual fund shareholders resulting from interest, dividends, or other income.
Income exclusion rule: The IRS rule that excludes certain types of income from taxation, e.g., welfare payments.
Income fund: A mutual fund that seeks to provide to liberal current income from investments.
Income immunization strategies: Methodologies adopted to insure adequate future cash flow.
Income investment company: A management company focused on managing a mutual fund whose primary purpose is income generation, typically investing in bonds and high dividend yielding stocks.
Income limited partnership: A limited partnership whose main goal is income generation, e.g., real estate, oil equipment.
Income property: Real estate purchased for the reasons of income generation.
Income risk: The possibility that a portfolio's dividends will decline as a result of falling interest_rate. Income risk is generally greatest for money market instruments and short-term bonds, and least for long-term bonds.

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