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致读者1

一、资本证券1

不同股息的股票　different dividend stock1

抵押证券　mortgage securities1

供股　share right offer1

供股权价值　right price2

股份转让　stock transfer2

股票　share certificate，或stock3

股票的市值　stock price3

股票的溢价与折让　premium and discount4

股票的整批与零星　round lot and odd lot4

股票的正股　ordinary shares4

股票分级　share grading5

股票总资本额　dedicated capital5

股权　share right5

混合证券　mixed securities6

流动收益选择票据　liquid yield option note，LYON6

美国存托凭证　American depository receipt，ADR6

普通股　common stock6

普通股权益　common equity7

全球存托凭证　global depository receipt，GDR7

权益证券与负债证券　equity securities and debt securities7

剩余请求权　residual claim8

授权普通股　authorized common stock8

有价证券　securities8

次位信用债券　subordinated debenture10

地方政府债券　local government bonds10

浮动利率债券　floating rate bonds，或floaters10

高息债券　high rate bonds11

公司债券　company's bonds11

均衡附息票债券　level coupon bonds11

可赎回债券　callable bonds11

可转股债券　convertible bonds12

垃圾债券　junk bonds12

零息债券　zero coupon bonds，或zeroes12

卖回债券　put bonds13

欧洲债券　Eurobonds13

平价债券　par value bonds13

收益债券　income bonds13

外国债券　foreign bonds14

信用债券　debenture14

溢价债券与折让债券　premium bonds and discount bonds14

债券　bonds14

债券的保护契约　protective covenant15

债券的不记名形式　bearer bonds15

债券的偿债基金　sinking funds15

债券的到期年限　maturity16

债券的到期日　maturity day16

债券的到期收益率　yield to maturity，YTM16

债券的等级　bond rating classes16

债券的抵押品　mortgage for bonds18

债券的递延赎回　deferred call19

债券的负面契约　negative covenant19

债券的合约　indenture19

债券的换新　bond refunding20

债券的记名形式　registered form20

债券的价格　bond price20

债券的价值变动　bond value change20

债券的面值　face value，或par value21

债券的票面息　coupon21

债券的赎回溢价　call premium21

债券的违约风险　risk on break contract21

债券的无风险报酬　risk free return21

债券的正面契约　positive covenant22

债券的孳息　yield22

债券回报的因素　relative factors to return23

中央政府债券　central government bonds23

二、股份发行24

包销承销　firm commitment underwriting24

超额认股权　over subscription privilege24

超额资本　capital in excess of par value25

成长股　growth stock25

承销价差　underwriters spread25

承销商　underwriters25

初次新发行　unseasoned new issue26

初级市场　primary market26

创业板风险　risk in growth enterprise market26

次级市场　secondary market27

存架式注册　shelf registration27

代销承销　best efforts underwriting28

点滴方法　dribble method28

发行成本　floating cost，或issue cost29

反向分割　reverse split30

负面的信号　bad signal30

附权发行　offering with right30

公开发行　public offering31

公开说明书　prospectus31

管理资讯　management information32

柜台交易　over the counter，或OTC market32

红字书　red herring32

后续市场　aftermarket32

竞争发行　competitive offer33

联合承销　syndicate33

墓碑广告　tomb stone advertisement33

墓碑阶层　tomb stone bracket33

评论书　letter of comment33

上市申请书　registration statement34

私下募集　private placement34

特权认股　privileged subscription35

现金发行　general cash offer35

新证券发行基本程序　IPO procedure35

议价价格　negotiated offer36

余股包销　standby underwriting36

再次新发行　seasoned new issue36

招股书　prospectus for placing and new issue36

主板与创业板　main board and growth enterprise market38

三、市场操作40

暗盘　trade before IPO40

补仓　add money40

超买与超卖　over buy and over sell41

当日有效盘　good for day41

笃手指　quick trading42

高水与低水　premium and discount42

公告（宣告）　announcement42

股份持仓h　old position43

股份除牌　deleted from listing43

股份买盘与卖盘　buy order and sale order43

股份抛空　short sale44

股份染红　capitalized by China company，或dye in red44

股份停牌　trading suspense45

股价干升干跌　price changing without substantial reason45

股价异动　price unusual moving46

股票触价盘　market if touched，MIT46

股票换马　switching47

股票交收T+2　settlement T+247

股票交收时间　settlement time47

股票经纪与证券行　broker and securities company48

股票平均线　average line48

股票射仓　send stocks to other account48

股票收集与派发　collecting and distributing49

股票斩仓　stop loss49

股票周期　stock price cycle50

股票孖展　stock margin51

股市出口术　make rumor51

股市搭棚　helper to make market51

股市风险月份　risk months52

股市竞价盘　order before market open52

股市开市前时段　time before market open53

股市捞底　buy in at bottom53

股市唛价　mark price53

股市收市价　market closing price54

股市缩盘　cancel order54

股市挟仓　cornering the market55

股市震仓　shake pursuers55

股市指数　stock index56

股市周期　market cycle56

股市庄家　market maker56

股市庄家股　maker's stock57

股数单位：“手”与“球”　lot size and million share57

红筹公司　red chip company57

货　stock58

即日鲜　day trading58

价格套利　price arbitrage58

交叉盘　cross trade59

交易盘代号　trade code59

蓝筹公司　blue chip company60

老鼠仓　rat trading60

美国主要经济指标　main index of American economy61

纳斯达克　Nasdaq62

牛市与熊市　bull market and bear market63

热钱　hot money64

市价面值比　price book value ratio，P/B65

停牌公告　announcement for trading suspense65

投资风险程度　risk level in investment66

限价买盘与限价卖盘　buy limit order and sell limit order66

相对强弱指数　RSI66

香港H股　“H”stock in HongKong market67

移动平均聚散线　moving average convergence divergence，MACD68

银行股数据　bank stock data69

止蚀盘　stop loss order70

指数移动平均线　exponential moving average，EMA70

重大事项披露　major event disclosure70

坐盘造市　take main position to make market71

四、公司接收72

暗地收集　collect shares secretly72

白衣武士　white knight72

边沿产品策略　edging product strategy73

标的反购　targeted repurchase73

并购程式　formula of merger73

并购形态　forms of merger74

并购诱因　reasons of acquisition（merger）74

超多数修正　supermajority amendment75

出价公司与目标公司　bidder and target firm75

垂直整合　vertical integration75

董事选举　director election76

毒药　poison pill76

对价　consideration76

恶意收购与善意合并　malicious merger and friendly merger76

防御策略　resistance strategy77

公开要约让渡　tender offer77

公司控制　company control78

购股会计法　purchase accounting method78

股权计划　share right plan，SRP79

固定选择　lock up79

冠上明珠　crown jewels79

管理层买入　management buyouts，MBO80

合并　merger80

合并溢酬　merger premium80

黄金降落伞　golden parachutes81

集团式收购　conglomerate acquisition81

焦土策略　scorched earth strategy81

接收　take over81

金色握手　happy shake hands82

累计投票选举法　cumulative voting82

利益结合会计法　pooling of interest accounting83

绿色盔甲　greenmail84

轮回选举　staggered election84

买“壳”上市　buy“shell”listing，或back door listing84

买票　buy shares85

免税收购与应税收购　tax free acquisition and taxable acquisition86

排他性自我让渡　exclusionary self tender86

全面收购　general offer86

全面收购触发点　the point of general offer87

鲨鱼反抗　shark repellent87

商誉　goodwill87

胜利者的诅咒　winner's curse87

剩余资金使用　surplus fund usage88

市场占有率　market share88

水平收购　horizontal acquisition88

私有化交易　going private transactions88

滩头策略　beach head strategy89

同意转让股份　agree to transfer shares89

吞并　annex89

委托书与委托书争夺战　proxy and proxy fight89

未利用的免税额　unused tax free line90

未使用的负债额　unused debt line90

无条件现金收购　unconditional cash offer90

无投票权股票　share without voting right91

暂停付款协议　standstill agreement91

直接投票选举　straight voting91

追击手　raider92

资本利得效果　capital gain effect92

资产收购　acquisition of assets92

资产增值效果　write up effect93

五、财务管理94

安全存货　safety stock94

本金　principal94

本票　promissory note95

边际成本　marginal cost95

边际收益　marginal revenue95

变动成本　variable cost96

补偿性余额　compensating balance97

财困成本　financial distress cost97

财务风险　financial risk97

财务杠杆　financial leverage97

财务困难　financial difficulties98

策略性选择　strategic option98

常态分配　normal distribution98

超额报酬　excess return99

沉入成本　sunk cost99

持有成本与短缺成本　carrying cost and shortage cost99

重复生息　compounding100

呆账准备　provision for doubtful debt100

代理成本　agency cost101

代理关系　agency relationship101

代理问题　agency problem101

独立需求　independent demand101

独立原则　stand alone principle102

独占公司　proprietary company102

非理性亢奋　irrational exuberance102

非流动资产的折旧　depreciation of non-current asset103

非市场索求权　non-marketed claim104

非系统风险　unsystematic risk104

非资金负债　unfunded debt104

费雪效果　Fisher effect104

分散投资　diversification105

分摊间接费用　spreading overhead105

风险溢酬　risk premium105

浮差　float105

负债　liabilities106

负债成本　debt cost106

负债与业主权益　liability and owner's equity107

副作用　side effect107

公用事业　public enterprise107

购买力平价理论　purchasing power parity，PPP108

孤注一掷法　pure play approach108

固定成本　fixed cost109

规模经济　economic of scale109

国际公司　international corporation109

合伙　partnership109

和解　composition110

互斥投资　mutually exclusive investment110

汇率风险　exchange rate risk111

货币交换　currency swap111

机会成本　opportunity cost112

及时存货　just in time，JIT inventory112

即期汇率　spot exchange rate112

交叉汇率　cross rate113

交易动机　transaction motive113

金融交换　swap113

金融交换合约　swap contract113

金融交换交易商　swap dealer114

金融交换选择权　swaptions114

经济反弹形态V、U、L　economic rebounding appearance V、U、L114

经济风险　economic exposure115

净利与净损　net income and net loss115

净营运资金　net working capital115

绝对优先法则　absolute priority rule，APR116

开支与收入　expenditure and revenue（income）116

库藏股　treasury stock116

历史成本　historical cost117

利害关系人　stakeholders117

利率交换　interest rate swap117

利率上限和利率下限　interest rate cap and floor117

流动负债　current liability118

流动资产与非流动资产　current assets and non-current assets118

免税投资者　tax free investor119

名目报酬　nominal return119

偏价股　mispriced stock120

破产　bankruptcy120

破产成本　bankruptcy cost121

破产的间接成本　indirect bankruptcy cost121

破产的直接成本　direct bankruptcy cost122

破产清算　bankruptcy liquidation122

破产重整　bankruptcy reorganization122

情境分析　scenario analysis123

取得延误　availability delay123

权益减损　dilution123

三角套利　triangle arbitrage124

商业汇票　commercial draft124

商誉的归类　goodwill124

时间趋势分析　time trend analysis125

市场索求权　marketed claims125

事先包装的破产　premeditated bankruptcy126

收益递减规律　the law of diminishing return126

授信　credit127

双重课税　double taxation127

私下信息　private information127

同业分析　peer group analysis127

投机动机　speculative motive128

投资、投机与赌博　investment、speculative and gambling128

投资回报　return on investment129

投资组合风险　portfolio risk129

投资组合权数　portfolio right129

未来值　future value129

无限偿还责任　unlimited liability130

无形资产　intangible assets130

系统风险　systematic risk130

系统风险原则　systematic risk principle130

现金来源　sources of cash130

现金使用　uses of cash131

效率市场假说　efficient market hypothesis，EMH131

效率资本市场　efficient capital market131

新意　innovation132

信用额度　line of credit132

信用风险　credit risk133

信用证　letter of credit，L/C133

循环信用协议　revolving credit arrangement，或revolver133

业务风险　business risk133

银行同业拆款利息　interbank offered rate，IBOR133

应收账款融资　accounts receivable financing134

营业杠杆　operating leverage134

有限公司与独占及合伙公司　corporations versus proprietorship and partnership134

预防动机　precautionary motive135

预期回报和非预期回报　expected return and unexpected return136

远期汇率　forward exchange rate136

增额保留利润　addition to retained earnings136

展期　extension136

账面价值　book value137

政治风险　political risk137

质押　collateral137

钟形曲线　bell curve138

资本结构决策　capital structure decision138

资本密集项目　capital intensive project138

资本配额　capital rationing138

资本支出与收益支出　capital expenditures and revenue expenditures139

资产　assets139

资产与资本　assets and capital141

资金成本　cost of capital141

资源共享　share the same resources141

资源互补　make use of the same resources142

自营商市场与拍卖市场　dealer market and auction market142

总成本　total cost142

总括抵押　blanket mortgage143

最差状况与最佳状况　worst case and best case143

六、业绩审核144

EBITDA144

百分比回报　percentage return144

保留利润　retained earnings，或retained profit145

保留利润比率　retained earning ratio145

报酬金额　dollar return146

贝塔系数　beta coefficient146

变异数与标准差　variance and standard deviation146

财务资料披露　financial information disclosure147

长期负债与股东资本比率　long term debt/shareholder's capital147

超常成长　supernormal growth148

存货周转率　inventory turnover148

董事酬金占纯利润百分比　directors'fees/net profit148

法定股数和已发行股数　legal shares and issued shares149

非经常性盈亏　unusual gain/（loss）149

股东应占利润　net profit to shareholders149

股东资金回报率　return on shareholder's funds149

过去3年派息及发债记录　record of dividends and liabilities in past 3 years150

合法避税　avoid tax by legal way150

还本期间　payback period150

获利能力衡量值　profitability measures151

获利指数法　profitability index，或PI151

经营边际利润率　profit margin from operating activities151

净资产周转比率　net asset turnover152

利息支付能力比率　time interest covered152

流动比率　current ratio152

每股现收益率　current yield153

每股盈利　earnings per share，或EPS153

年度报告　annual report154

派息比率　dividend payout ratio155

权益回报率与资产回报率的区别　difference between ROE and ROA155

权益回报率　return on equity，ROE156

审计师报告　report of the auditors157

市盈率　price earnings ratio，或P/E ratio157

速动比率　quick ratio157

特殊收益处理　dispose of special gains158

息税前盈利　earning before interest and taxes，或EBIT158

应收账款周转率　accounts receivable turnover158

盈利警告　earning warning159

盈利预测　earning forecast159

营业总额　general turnover160

营运资金　working capital160

预期回报率　expected return，或return160

折旧摊销与营业额比率　depreciation and amortization/turnover161

中期业绩报告书　interim report161

资本利得收益率　capital gains yield162

资产回报率　return on assets，或ROA162

资产净值　net asset value163

总负债对股东资本比率　total liabilities to equity ratio163

总收益　total revenue，或total gain and loss163

七、息利分配164

持有人　holder164

除净　ex-all164

除权　ex-right165

除息　ex-dividends165

除息日　ex-dividends date165

大额股票股息　large stock dividends166

登记日　date of record166

发放日　date of payment166

非累积股息　non-cumulative dividends166

分配　distribution166

高股息与基金　high dividends rate and fund167

股东权益　shareholder's equity167

股票分割　stock split168

股票股息　stock dividends168

股票买回避税　repurchase stock to avoid tax168

股票买回和　EPS EPS in stock repurchase169

股息发放程序　procedure of dividends pay169

股息类别　dividends kinds170

股息投资　invest by dividends171

股息与股息发放率　dividends and payout ratio172

股息与利息　dividends and interests172

股息政策与市场反应　dividends policy and market reflection173

顾客群效果　clientele effect174

累积股息　cumulative dividends174

零成长股息　zero growth dividends174

派息　dividends distribute175

偏爱低股息因素　reasons of preference to lower dividends175

偏爱高股息因素　reasons of preference to higher dividends175

普通现金股息　regular cash dividends176

清算股利　liquidation dividends176

如何收息　how to get dividends176

剩余股息法　residual dividends approach177

特别股股息　preferreds stock dividends177

特别股特征　preferreds stock feature178

特别股与债券　preferred stock and bond178

小额股票股息　small stock dividends179

循环股息政策与稳定股息政策　cyclical dividends and stable dividends policy179

应计利息　calculative interests179

优先权　seniority179

优先认股权　preemptive right180

自动股息再投资计划　automatic dividends reinvestment plans，ADRs，或DRIPs180

八、基金投资181

保本基金　capital preservation funds181

保守基金　conservative funds182

保证基金　guaranteed funds183

标准普尔“Micropal”星号评级　S＆P“Micropal”rating classes183

标准普尔货币基金评级　S＆P money（currency）funds rating classes184

标准普尔债券基金评级及分类　S＆P bond funds rating classes184

传统股票基金　traditional equity funds184

单位信托基金与互惠基金　unit trust funds and mutual funds185

对冲基金（传统）　hedge funds（traditional）185

对冲基金（现代）　hedge funds（new style）186

对冲基金的手段　hedge method187

非认可基金　unauthorized funds187

封闭式基金　close-ended funds188

高风险投机基金　high risk speculative funds188

共享利润基金　mutual bonus funds189

国库债券基金的稳定性　stability of treasury funds189

货币基金　money（currency）funds190

基金单位　fund units190

基金经营机构　fund management organization191

基金买卖收费　fund trade fee191

基金套利策略　fund arbitrage strategy191

基金投资法　fund invest method192

基金销售方式　fund sale method193

开放式基金　open-ended funds193

开放式基金的稳健性　stability of open-ended funds194

可转股债券套利基金　convertible bond funds194

免佣互惠基金　non-commission mutual funds195

欧洲大陆基金　European continental funds195

欧洲股票基金　European equity funds196

全球新兴市场债券基金　global emerging market bond funds197

认可基金　authorized funds198

认可基金管理人　administrator of authorized funds198

套利基金与对冲基金　arbitrage funds and hedge funds199

外汇基金债券　foreign currency fund bonds200

外汇基金债券庄家　market maker of foreign currency fund bonds200

由上而下投资法　top down approach200

由下而上投资法　bottom up approach201

债券基金风险　risk of bond funds201

债券基金个性　individuality of bond funds201

债券基金类别　fund kinds202

债券基金与债券的差别　different between bond funds and bonds202

指数基金　index funds203

中国概念基金　China concept funds203

中性市场基金　neutral market funds204

附：索罗斯操市小记204

主要参考文献206