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 Raider - Person or group conspiring to take control of a company without the cooperation or consent of the company’s management. Once in control, the group often "raids" the company by selling off portions of the company for a profit.
Real Estate Investment Trust (REIT) - Investment fund that owns real estate. Most REITs trade publicly, similar to closed-end mutual funds.
Record Date - Date an investor must own shares in order to receive a dividend, rights or other distribution from an issuer.
Redemption - In open-end mutual funds, describes the act of selling shares back to the mutual fund company for the shares' net asset value in cash or securities.
Red Herring - Preliminary prospectus which has not been approved by the Securities and Exchange Commission.
Registered Investment Advisor (RIA) - Person or firm registered with the SEC as a professional advisor. Most RIAs manage a client’s portfolio for a fee based on the value and/or performance of the portfolio. By contrast, a stockbroker earns a fee or commission from transactions in a client’s account. RIAs and brokers are not permitted to charge both a management fee and a transaction fee.
Registered Representative - A stockbroker by any other name. The term comes from the National Association of Securities Dealers, which certifies and regulates brokers and refers to them as registered securities representatives.
Registration - Process where securities that are to be sold to the public are reviewed by the Securities and Exchange Commission.
Regulation A - Body of regulation under the Securities Act of 1933 allowing corporations to sell their own securities in a public offering without the assistance of a brokerage firm or underwriter.
Regulation D - Body of regulation under the Securities Act of 1933 pertaining to the issuance or sale of private and unregistered securities. Regulation D generally restricts such sales to qualified institutions and individuals who can demonstrate a high tolerance for risk.
Regulation S - Exemption where corporations can issue unregistered securities to qualified foreign investors and foreign institutions. While commonly used under ethical circumstances, abuse of Regulation S has been common in penny stock fraud due to the preference exemption from restrictions on secondary trading that shares issued under Regulation S are afforded. Shares issued under Regulation S may be freely sold or traded after 40 days of their issuance.
Reinvestment - Act of purchasing additional shares in a mutual fund or stock that pays dividends or capital gains instead of receiving such distributions in cash.
Restricted Stock - Shares of stock which are restricted from trading in the secondary market.
Retail - Trade in which a client buys or sells an over-the-counter stock through a broker-dealer. (See "Wholesale")
Retained Earnings - Portion of corporate earnings not distributed to shareholders in the form of a dividend or otherwise; recorded on a company’s balance sheet and reflect an increase in shareholder equity.
Retire - Termination, recall or elimination of a security. In bonds, the term often refers to repayment of the bondholders’ principal and interest. Once repaid, the bonds are then retired and no longer trade as securities. In stocks, companies sometimes buy back shares outstanding, then simply retire or cancel those shares, thus reducing the number of shares outstanding.
Return On Equity (ROE) - Amount of earnings a company generates from its reinvested earnings; net income divided by stockholders' equity, expressed as a percentage.
Return On Investment (ROI) - Amount of income from an investment; expressed as a percentage.
Revenue - All sales or other forms of income before expenses or taxes, of a corporation.
Reverse Stock Split - Procedure where a company reduces its number of shares outstanding by doing a reverse stock split. After a reverse split, the shares' market value will remain unchanged but each share will enjoy a higher price, due to the reverse stock split. For example, if a firm with 10 million outstanding shares selling at $1 a share executes a 1-for-10 reverse split, it will end up with 1 million shares selling for $10 each. Reverse splits or a reverse stock split are seldom associated with good fortune. In fact, the opposite is often true, as many companies are compelled to declare reverse stock splits to simply maintain the minimum share price requirements necessary to remain listed on a stock exchange. (See "Split")
Rights Offering - Securities offering by an issuer to its existing shareholders before offering the same securities to the general public. Rights offerings are typically priced at or near current market prices and are directed at appealing to shareholders' loyalty to help a company raise additional capital.
Rollover - Term describing the transfer of funds from one fiduciary to another. Also used to describe an even or near-even exchange of similar or identical securities.
Round Lot - Normal rounding of a quantity of securities to be traded. In stocks, a round lot is 100 shares. Any order not rounded to the normal quantity is considered an "odd lot" and subject to restrictions or additional fees. (See "Odd Lot")
Rule 144 - Portion of the Securities Act of 1933 stipulating terms and conditions applying to the restriction from trading of shares of stock issued without a registration statement. In general, Rule 144 restricts trading in all unregistered securities for a period of 12 months unless otherwise registered with the Securities and Exchange Commission. | 
