cfa-level-1词汇-L1word1.docx

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cfa level 1词汇 L1word1

Subscriber’s resolutions 发起人决议书
Resolutions of the First director 首席董事决议书
Resolutions of the Sole Director of the Compay 公司唯一董事决议书
Share transferr 股权转让书
Original copy of the Cerificate of Incorporate企业登记证原件
A stamped Memorandum and Articles of Association M&A :公司章程原件
Copies of M&A 公司章程复印件
Regist of Members ,Directors ,Officers,Transfer and Changes　公司成员/董事/职员登记册和股份转让
A booklet of share certifcates 股权证明
Compay seal and chop 公司钢印和图章
Copy of Filling Schedule of Cayman Islands Compaies 开曼公司文件登记时间表
Advance/ Decline Line A/D - Define meaning of the word Advance Decline Line
A technical analysis market timing tool used as an indicator of market movement. The A/D line is derived from the total number of stocks that advanced versus the total number of stocks that declined in price each day on the New York Stock Exchange.
技术指标中英文对照
绝对幅度指标 absolute breadth index
累积/派发线 accumulation/distribution line
累积摆动指标 accumulation swing index
上涨/下跌线 advance/decline line
上涨/下跌比率 advance/decline ratio
上涨-下跌值 advancing-declining issues
价格上涨、价格下跌和价格不变的证券成交量 advancing，declining，unchanged volume
安德鲁斯干草叉 andrews s pitchfork
阿木思指标 arms index trin
阿隆指标 aroon
平均真实区域 average true range
布林带 bollinger bands
宽度突破 breadth thrust
牛/熊比率 bull/bear ratio
日本烛形图 又称蜡烛图 candlesticks，japanese
肯思里姆 canslim
蔡金货币流量 chaikin money flow
蔡金摆动指标 chaikin oscillator
钱德动量摆动指标 chande momentum oscillator
商品通道指标 commodity channel index
商品选择指标 commodity selection index
相关分析 correlation analysis
累积成交量指标 cumulative volume index
周期 cycles
需求指标 demand index
非趋势价格摆动指标 detrended price oscillator
动向指标 directional movement
双指数移动平均线 double exponential moving average
道氏理论 dow theory
动态动量指标 dynamic momentum index
轻松移动指标 ease of movement
有效市场理论 efficient market theory
爱略特波浪理论 elliott wave theory
轨道 交易带 envelopes trading bands
等成交量 equivolume
斐波纳契研究 fibonacci studies
预测摆动指标 forecast oscillator
百分之四模型 four percent model
傅立叶转换 fourier transform
基本分析 fundamental analysis
江恩角 gann angles
哈里克获利指标 herrick payoff index
惯性指标 inertia
利率 interest rates
日内动量指标 intraday momentum index
卡吉图 kagi
克林格成交量摆动指标 klinger oscillator
大宗交易比率 large block ratio
线性回归指标 linear regression indicator
线性回归斜率指标 linear regression slope
线性回归趋势线 linear regression trendlines
市场便利指标 market facilitation index
质量指标 mass index
迈克勒兰摆动指标 mcclellan oscillator
迈克勒兰和指标 mcclellan summation index
中间价格指标 median price
会员空头比率指标 member short ratio
山形正弦波指标 mesa sine wave
动量指标 momentum
货币流量指标 money flow index
平滑异同平均指标 moving average convergence/divergence
移动平均指标 moving averages
负量指标 negative volume index
新高-新低累积指标 new highs-lows cumulative
新高/新低比率 new highs/lows ratio
新高-新低指标 new highs-new lows
零股平衡指标 odd lot balance index
零股买入/卖出指标 odd lot purchases/sales
零股卖空比率 odd lot short ratio
欧得思概率锥形曲线 odds probability cones
平衡交易量 on balance volume
未平仓合约 open interest
公开-10交易指标 open-10 trin
期权分析 option analysis
超买/超卖指标 overbought/oversold
抛物线状的止损与反转 parabolic sar
形态 patterns
百分比回落 percent retracement
表现指标 performance
点值图 point and figure
极化分形效率指标 polarized fractal efficiency
正量指标 positive volume index
价量趋势指标 price and volume trend
价格通道 price channel
价格摆动指标 price oscillator
价格的变动率指标 price rate-of-change
投射带 projection bands
投射摆动指标 projection oscillator
公众空头比率 public short ratio
看跌/看涨比率 puts/calls ratio
q棒指标 qstick
四等分线 quadrant lines
R的平方指标 r-squared
拉弗回归通道 raff regression channel
随机行走指标 random walk index
区域指标 range indicator
矩形 rectangle
相对动量指标 relative momentum index
比较相对强弱指标 relative strength，comparative
相对强弱指标 relative strength index
相对波动性指标 relative volatility index
忍蔻图 renko
速度阻力线 speed resistance lines
价差 spreads
标准离差 standard deviation
标准离差通道 standard deviation channel
标准误差 standard error
标准误差带 standard error bands
标准误差通道 standard error channel
斯蒂克斯 stix
随机动量指标 stochastic momentum index
随机摆动指标 stochastic oscillator
摆动指标 swing index
三重指数移动平均 tema
三线突破 three line break
时间系列预测 time series forecast
泰龙水平线 tirone levels
总卖空比率 total short ratio
交易量指标 trade volume index
趋势线 trendlines
契克斯 trix
典型价格 typical price
终极摆动指标 ultimate oscillator
上涨/下跌量比 upside/downside ratio
上涨/下跌量指标 upside/downside volume
垂直水平过滤指标 vertical horizontal filter
蔡金波动性指标 volatility，chaikin s
成交量指标 volume
成交量摆动指标 volume oscillator
成交量变动率 volume rate-of-change
加权收盘价 weighted close
威尔德平滑 wilder s smoothing
威廉姆斯累积/派发指标
williams s accumulation/distribution
威廉姆斯%r williams s %r
之字形指标 zig zag
Short Interest 空头净额
The total number of shares of a security that have been sold short by customers and securities firms
Short Interest Ratio 空方比率
A sentiment indicator that is derived by dividing the short interest by the average daily volume for a stock. This indicator is used by both fundamental and technical traders to identify the prevailing sentiment the market has for a specific stock. Also known as the "short ratio".

Sell Side　
The retail brokers and research departments that sell securities and make ecommendations for brokerage firms' custoers

Road Show 路演
A presentation by an issuer of securities to potential buyers. It is intended to create interest in the securities.

flat fee 固定费用，统一费用;平价

fraught adj. [仅用作表语]1. 装着...的2. 充满...的; 隐藏...的; 伴随着...的 with
a policy fraught with danger充满危险的政策
n. [苏] 船上的 货物, 装载物
pick up the tab  替人付帐
itinerary  n.  旅程, 游记, 旅行指南 adj.  巡回的, 旅程的, 游历的
tour   n.  旅行, 旅游, 游历 v.  旅行, 巡回, 周游; 周游, 游历, 观光
contingent  n.1. 偶然的事， 意外的事2. 部分， 份儿3. 分遣队； 分舰队； 代表团
contingent of students学生名额contingents of the people's militia民兵师
The young heir's contingent of the estate was smaller than he had hoped for.
这位年轻的继承人所得的遗产份儿比他希望的要少。
adj.1. 临时的， 偶然的； 应急的2. 或有的， 不是逻辑上必然的3. 伴随的4. 视情况而发生的a contingent event意外事件a contingent fund应急费用contingent fee成功后才给的报酬（如胜诉后付给律师的酬金）
Whether or not we arrive on time is  contingent on the weather.
我们是否按时到达要视天气情况而定。
contingently  adv.  偶然， 意外， 相应地， 看情况
contingent on/upon  视...而定 be contingent to　依/视…而定
plagiarism  n.1. 文章、学说等的 剽窃, 抄袭2. 剽窃物
plagiaristn.  剽窃者, 抄袭者 –ristic adj.  剽窃的, 抄袭的
recognized   adj.  公认的; 经过证明的; 普遍接受的
appropriate v.  拨出; 挪用, 盗用; 占用 adj.  适当的, 恰当的, 相称的
compromise n.1. 妥协， 和解2. 妥协［折衷］办法， 和解契约3. 中间物， 折衷物4. 损害; 连累; 危及make compromise with与...妥协compromise of principle原则上的让步vt.1. 和解， 对...妥协， 折衷处理2.危及， 连累3. 放弃（原则， 利益）; 泄露（秘密）compromise a lawsuit和解诉讼compromise sb.'s reputation损害某人的名誉vi.1. 和解， 互让了事2. 姑息， 妥协， 退让
in the context of 在...情况下
ibidem  adv.  同一个地方; 同前所述; 出处同上 abbr 缩写 ibid
knowingly  adv.  熟悉地; 故意地; 会意地;有意地
reference  n.1. 参考, 查询[阅], 询问, 访问2. 提到, 涉[论]及, 有关系[联]3. 职[授]权范围4. 证明, 介绍; 证明[介绍]信[人] 有关某人品格或能力的）证明文书, 介绍信; 证明人;推荐函5. 参考文献[资料, 书目, 符号, 电源], 说明书, 附[旁]注, 引证[用], 出处6. 基准(点), 标准, 依据, 坐标, 标记7. 读数起点位置[条件]
civil disobedience ph. 不合作主义;(以拒绝遵守政府法令,拒绝纳税等方式进行的)非暴力反抗 温和抵抗 和平抵抗
conference call ph.. 电话会议
unsolicited   adj.  未经请求的; 主动提供的; 自发的; 无缘无故的; 多事的; 多余的
Secondary Offering 证券第二次发行
1. The issuance of new stock for public sale from a company that has already made its initial public offering (IPO). Usually, these kinds of public offerings are made by companies wishing to refinance, or raise capital for growth. Money raised from these kinds of secondary offerings goes to the company, through the investment bank that underwrites the offering. Investment banks are issued an allotment, and possibly an overallotment which they may choose to exercise if there is a strong possibility of making money on the spread between the allotment price and the selling price of the securities.
2. A sale of securities in which one or more major stockholders in a company sell all or a large portion of their holdings. The proceeds of this sale are paid to the stockholders that sell their shares. Often, the company that issued the shares holds a large percentage of the stocks it issues.
Allotment  配股
首次公开上市中向各承销机构分配，容许其出售的股份。其余股份会分给其他取得上市股份出售权的证券公司
During an IPO, this is the number of shares granted to each participating underwriting firm that they are permitted to sell. Remaining surpluses are then given to other firms which have won the bid for the right to sell the IPO.
buy out  买下全部产权,购入全部股权 买下...的全部股份
Buy out the exclusive selling right 独家经销权
aving bought out all his partners he now owns the whole company.
他买下合伙人的全部股份，现在整个公司是他的了。
quiet period 静默期　静止期
In terms of an IPO, the period where an issuer is subject to a SEC ban on promotional publicity. The quiet period usually lasts either 40 or 90 days from the IPO.
在首次公开上市的过程中，静止期指美国证监会禁止发行人进行公开推销活动的时期。静止期一般为发行后的40至90日
refute  vt.驳斥, 驳倒, 反驳
Ballot (尤指无记名的)投票
The documentation representing a shareholder's decision when a company's ownership group votes on corporate issues. Ballots are usually dispersed at annual meetings, when shareholders vote in the board of directors.
custody  n.1. 监督; 监视; 保护2. 监护, 看守; 拘留, 监禁3保管, 照顾, 保护
child custody儿童保护
safe custody保管(文件、财物密封后交银行保管)
A father has the custody of his children when they are young.
孩子年幼时, 做父亲的有监护的责任。
His car was held in the custody of the police.
他的汽车被警察扣压。
Takeover Bid 收购出价
A type of corporate action in which an acquiring company makes an offer to the target company's shareholders to buy the target company's shares in order to gain control of the business. Takeover bids can either be friendly or hostile.
指一家公司为收购另一家公司而开出的收购条件。出价可以是现金，也可以是股票，或两者混合的方式。收购条件通常会设定有效期。收购可以是敌意的（即没有获得收购目标的同意或合作），也可以是善意的（即已获收购目标接受）。
take-over offer purchasing order 收购要约
Tender Offer  股权收购要约 收购一家企业部分或所有股东股份的建议。收购建议的价值一般高于市场价格
An offer to purchase some or all of shareholders' shares in a corporation. The price offered is usually at a premium to the market price.
perpetuate  vt.  使永存, 使不朽, 保持
pro rata  按比例
Risk tolerance  风险容忍度
投资者对于投资组合价值负面变化方面的不明朗因素的可接受程度
The degree of uncertainty that an investor can handle in regard to a negative change in the value of his or her portfolio.
casualty insurance  意外保险,伤害保险,灾害保险
property insurance  财产保险
whistleblowing  告密 揭发
contract worker  n.合同工
intern　　vt.1. (尤指战时)拘留2. 软禁vi.1. 做实习医师(或实习教师、实习生)n.1. 实习医师;实习教师;实习生 unpaid intern
I worked as an intern in that firm last summer. 去年夏天我在那家商行实习。
Xinhua News Agency, Hangzhou, September 1st, by reporter Guoxian Zhu and intern Zhehui Guan 新华社杭州九月一日电（记者朱国贤、实习生管哲晖）
Condominium n. 【美】各户有独立产权的公寓(大厦)
contingent n.1. 偶然的事， 意外的事2. 部分， 份儿 3. 分遣队； 分舰队； 代表团contingent of students学生名额contingents of the people's militia民兵师
The young heir's contingent of the estate was smaller than he had hoped for.
这位年轻的继承人所得的遗产份儿比他希望的要少。
adj.1. 临时的， 偶然的； 应急的2. 或有的， 不是逻辑上必然的3. 伴随的4. 视情况而发生的a contingent event意外事件a contingent fund应急费用contingent fee成功后才给的报酬（如胜诉后付给律师的酬金）
Whether or not we arrive on time is  contingent on the weather.
我们是否按时到达要视天气情况而定。
contingently  adv.  偶然， 意外， 相应地， 看情况
contingent on  视...而定contingent upon  视...而定
compliance system 合规制度
Compliance Department 合规部 稽核部
The department within a brokerage firm that oversees the trading and market-making activities of the firm.
compliance procedure 合规性程序 符合程序
system of checks and balances 制约和平衡的体制 监督制衡体系 权力制衡机制
reminder  n.1. 提醒者[物], 令人回忆的东西, 纪念品2. 提[暗]示, 信号, 通知3.
【商】催单a reminder slip催询单a reminder tray意见箱a gentle reminder暗示
Co. ,Ltd  =Company Limited 有限公司
inc.  n.股份有限公司 Incorporated
accountable  a.  负有责任的, 可说明的, 可解释的[经] 负有责任的
be accountable to sb for sth
memo  n.便笺 备忘录
thoroughness  n.  完全, 十分 彻底性 精确
The main credit for the success of the test attaches to the thoroughness in their work.这次试验之所以成功，主要归功于他们工作中一丝不苟的精神。
philosophy  n.1. 哲学2. 哲理3. 人生观4. (某一学科)基本原理5. (除医学、法律、神学外的)所有学科; [古]自然科学6. 伦理学7. 哲人态度, 达观, 冷静8. 对知识的热爱
adhere to1. 粘附Mud adhered to our shoes.我们的鞋上沾着泥。
2. 坚持She adhered to what she had said at the meeting.她坚持她在会议上说过的话。 3. 拥护;支持
pretext n.1. 借口, 托词2. 假象, 掩饰(for)He used his sore throat as a pretext for not going to school.他以喉痛作为不去学校的借口。
vt. 以...为借口, 假托pretext an early appointment in town next morning以第二天早晨镇上有约会为借口　　　find a pretext for为...找口实make a pretext of  以...作口实
on some pretext or other  用某种借口under[on, upon] the pretext of  以...为借口
identify　　vt.1. 确认;识别;鉴定,验明[(+as)]She identified him as her attacker.她认出他就是袭击她的人。I cannot identify this signature.我识别不出这是谁的签字。
2. 视...(与...)为同一事物[(+with)]
Never identify wealth with happiness.
千万不要把财富和幸福等同起来。
3. 使参与;使合作[(+with)]；支持
The politician refused to identify himself with the Administration's foreign policy.
那位政治家拒不支持政府的外交政策。
4. 发现,确定
vi.1. (与...)认同;一致;感同身受[(+with)]
I identified with the heroine of the novel.
我与小说中的那个女主人公感同身受。
decline  vt.1. 谢绝, 拒绝, 推辞2.使下降; 倾斜; 使(头)低垂3. 【语】使变化(名词、代词、形容词等的)词尾
decline an offer 拒绝请求 decline an invitation谢绝邀请
decline to answer a question 拒绝回答问题
vi.1. 谢绝, 拒绝2.下倾, 下降, 下垂3. 倾斜, 偏斜4. 衰落, 衰退, 减退5. 跌落, 减低; 降落6. 降格; 屈尊7.接近结束, 接近尾声8. 【天】沉没
substantiate 　 vt.  使具体[实体]化; 证实[证明]某事有根据
substantiation  n.  1. 具体化; 证实 substantiator 2. 证明人，证人
prowess　　　　n.[U]1. 英勇，勇敢;无畏2. 非凡的能力;高超的本领，超凡技术
prominent  adj.1. 突出的; 突起的, 凸起的2. 杰出的; 著名的; 显著的; 主要的,重要的
Write-Up　增记　提高帐面价值　（提高资产的账面价值，因为相对市场价值估值过低
计算根据当时市场价格、面值、息票利率以及距离到期日时间，也假设所有息票以同样的利率进行再投资）
An increase made to the book value of an asset because it is undervalued compared to market values.
stake 　n.  桩,
stakes (a) [pl]奖金（尤指赛马的）　　　　the stake（旧时的）火刑柱 　　　　投资; 投放的本钱　　　at stake　在胜败关头; 冒风险
v.  把...押下打赌, 拿...冒险; 以桩支撑; 系...于桩上; 用桩标出的界限
　　　　资助, 支持（某人/某事物）
close out  平仓
referrall fees 介绍费
consideration  n.1. 考虑， 思考； 顾虑2. （为别人）着想； 体谅3. 考虑的因素， 原因； 考虑的结果4. 重要性5. 报酬，酬金
　　　in consideration of sth 作为对...的回报; 考虑到
compromise  n. 妥协, 折衷案, 折衷v. 互让解决;放弃;连累,危及/害; 泄露; 妥协, 让步
undermine 　 v.  渐渐破坏, 暗地里破坏, 挖掘地基
proprietary product 专有/利产品
tip off  　　向...泄露, 告诫
exposure  暴露风险,承受风险,风险
discretionary adj.  任意的, 无条件的
discretion  n.1. 判断(力), 辨别(力)2. 慎重, 谨慎3. [古]离散,分立;不连续4. 自行处理,【律】任意决定权act at [on] one's discretion 自行决断
Non-discretionary funds　　　　　非任意基金
Discretionary Fund Management 代客操作业务(
discretionary income 　　　　　　　自由支配收入;自由支配所得
sub-  pref 前缀 ( 与名词和形容词结合) 在...之下; 低於...: ( 与名词结合) 级别较低的; 次於...的: 与形容词结合) 不完全的; 近似的:(与动词和名词结合)（形成）...之较小的或次要的部分:
subadvisor 次/副/子顾问
evergreen  长年信用
A contract provision that automatically renews the length of the agreement after a predetermined period, unless notice for termination is given. Evergreens are often used for long term agreements such as memberships or maintenance contracts
mezzanine n.  夹楼; 戏院最底层楼厅; 中层楼; 舞台下房间
Mezzanine Financing 夹层融资
1. 收购项目采用的股本融资方式，利用优先股及可转换证券扩大目标公司的规模
2. 结合债务及股票的融资活动
A hybrid of debt and equity financing that is is typically used