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Customer protection rule

An 

SEC

 rule requiring broker/dealers to establish separate reserve accounts into which 

Customer

 credit balances are maintained, and prohibiting them from using 

Customer

 balances to 

Finance

 their 

Own

 trading.



Related Terms: 15

Account

,

Balance

,

Broker

,

Credit balance

,

Customer

,

Credit

,

Dealer

,

Deal

,

Finance

,

FIN

,

Heir

,

Own

,

Ring

,

SEC

,

Trading


Other Related Pages:

Category: Brokerages


Starting With: C


Semi Related Terms: 465  CLICK HERE TO VIEW

10-Q

,

10-K

,

30-day wash rule

,

Account

,

Accounts receivable

,

Accounts receivable aging

,

Accounts receivable turnover

,

Account statement

,

Adjusted balance method

,

Account aggregation

,

Account balance

,

Active account

,

Adjustable rate

,

Alternate account

,

Asset management account

,

Average daily balance

,

Average daily balance method

,

Above par

,

At par

,

Account executive

,

At best

,

At call

,

Adjustable rate preferred stock

,

At risk

,

Action to quiet title

,

As is

,

Assignment to creditors

,

Attorney in fact

,

Adjustable Rate Mortgage

,

Advance rate

,

Annual Percentage Rate

,

Applicable federal rate

,

Asset-based finance

,

A shares

,

At the money

,

Absorption rate

,

Across the board

,

Additional paid-in capital

,

Adoption credit

,

Ad valorem

,

After-hours trading

,

Against the box

,

At the bell

,

At the close

,

At the figure

,

At the full

,

At the market

,

At the opening order

,

Automated Pricing and Reporting System

,

Away from the market

,

Balance

,

Below the line

,

Burn rate

,

Bank credit

,

Below par

,

Benchmark interest rate

,

Bid-to-cover ratio

,

Broker

,

Broker loan

,

Brought over the wall

,

Buy the book

,

Balance of payments

,

Bank Rate

,

Base interest rate

,

Basis trading

,

Breaking the syndicate

,

By the book

,

Base rate

,

Blended rate

,

Broker loan rate

,

Business credit

,

Business finance companies

,

B shares

,

Buy and write

,

Behavioral finance

,

Break-even tax rate

,

Beat the gun

,

Contra account

,

Credit order

,

Central assets account

,

Checking account

,

Compensating balance

,

Credit card

,

Credit union

,

Custodial account

,

Coupon rate

,

Credit analyst

,

Credit risk

,

Current production rate

,

Call money rate

,

Cash account

,

Contra broker

,

Contract broker

,

Credit balance

,

Customer protection rule

,

Capitalization rate

,

Cap rate

,

Capital account

,

Civilian unemployment rate

,

Credit squeeze

,

Current account

,

Customer

,

Cash and carry trade

,

Chasing the market

,

Cheapest to deliver

,

Commodity Futures Trading Commission

,

Commodity Trading Advisor

,

Credit insurance

,

Credit life insurance

,

Cash credit

,

Closed-end credit

,

Commercial credit

,

Commercial finance

,

Consumer credit

,

Credit

,

Credit agency

,

Credit default swap

,

Credit derivative

,

Credit enhancement

,

Credit limit

,

Credit line

,

Credit score

,

C shares

,

Close to the money

,

Credit spread

,

Cash-balance plan

,

Class A Shares

,

Class B Shares

,

Child and dependent care credit

,

Cup and handle

,

Close a position

,

Cornering the market

,

Curbs in

,

Declining balance method

,

Deferred credit

,

Double-declining balance depreciation method

,

Dealer bank

,

Deposit in transit

,

Drawing account

,

Dealer market

,

Dealer

,

Deep discount broker

,

Discount broker

,

Discretionary account

,

Dividend in arrears

,

Dividend rate

,

Desk (the)

,

Discount rate

,

Daily trading limit

,

Deal stock

,

De-escalation clause

,

De facto

,

Debit balance

,

Debtor in possession

,

Debtor-in-possession financing

,

Deep in the money

,

Deep out of the money

,

Department of Housing and Urban Development

,

Deferred account

,

Dogs of the Dow

,

Deal

,

Deal flow

,

Effective annual interest rate

,

Escrowed to maturity

,

Exchange rate

,

Effective par

,

Economic growth rate

,

E-mini

,

Effective tax rate

,

Earned income tax credit

,

Education credit

,

First In First Out

,

Form 10-Q

,

Federal Savings and Loan Association

,

Fractional reserve banking

,

Frozen account

,

Federal Reserve Note

,

Finance

,

Flight to quality

,

Floating-rate bond

,

Fictitious credit

,

Floor broker

,

Front-ending an order

,

Floating exchange rate

,

Foreign exchange rate

,

Forward deal

,

Forward exchange rate

,

Forward P/E

,

Favorable balance of trade

,

Federal Reserve Bank

,

Federal Reserve Board

,

Federal Reserve Discount Rate

,

Federal Reserve requirement

,

Form 8-K

,

Form S-1

,

Friends and family offering

,

Fair Credit Reporting Act

,

Finance charge

,

Finance company

,

Fixed rate

,

Fixed-rate loan

,

Fixed-Rate Mortgage

,

Floating rate

,

Forward interest rate

,

Forward Rate Agreement

,

Full faith and credit

,

Free and clear

,

Flexible spending account

,

FIN

,

General account

,

G-7

,

General Agreement on Tariffs and Trade

,

G-8

,

Growth and income fund

,

Gather in the stops

,

Hit the bid

,

House account

,

Health Insurance Portability and Accountability Act

,

Heir

,

Holder in due course

,

High credit

,

Home equity line of credit

,

Hope credit

,

Head and shoulders

,

Hammering the market

,

Held at the opening

,

Historical trading range

,

Holding the market

,

Inactive account

,

Insured account

,

In escrow

,

Interest rate collar

,

Interest rate risk

,

Interest rate swap

,

Independent broker

,

In-house

,

Introducing broker

,

In line

,

Inflation rate

,

Interest rate futures

,

Interbank Rate

,

Insurance broker

,

Insider trading

,

Insider Trading sanctions Act of 1984

,

Internal Rate of Return

,

In intestacy

,

Impaired credit

,

Interest rate

,

Interest rate cap

,

Interest rate ceiling

,

Interest rate floor

,

In play

,

In-process research and development

,

Interest rate option

,

I/O strip

,

In-service withdrawal

,

Income exclusion rule

,

In and out

,

In sympathy

,

Intermarket Trading System

,

In the tank

,

Joint account

,

Jointly and severally

,

Jumping the gun

,

Joint and several liability

,

Joint and survivor annuity

,

Know Your Customer

,

Last In First Out

,

Lending at a rate

,

Loose credit

,

Last trading day

,

London International Financial Futures and Options Exchange

,

London Inter-Bank Offer Rate

,

Line of credit

,

Loan-to-cost

,

Loan-to-value

,

Lock-in

,

Leading the market

,

Lifetime learning credit

,

Locked in

,

Level I quotes

,

Matrix trading

,

Make a market

,

Managed account

,

Margin account

,

Margin rate

,

Mark-to-market

,

Marginal propensity to consume

,

Market rate

,

Money at call

,

Mortgage broker

,

Mortgage rate

,

Mill rate

,

Mixed account

,

National Credit Union Administration

,

Nostro account

,

Nine-Bond Rule

,

Nominal rate

,

National Association of Securities Dealers

,

National Association of Securities Dealers Automated Quotations system

,

Null and void

,

Non-revolving credit card

,

Off-balance-sheet financing

,

Off the books

,

Over-the-Counter

,

Online broker

,

Option account

,

Outside broker

,

Operating rate

,

Omnibus account

,

One-share one-vote rule

,

On account

,

On-the-spot loan

,

Open-end credit

,

Original principal balance

,

Out of the money

,

Own

,

Old age, survivors, and disability insurance

,

On-balance volume

,

On the opening

,

Profit and loss statement

,

Pro forma

,

Paper dealer

,

Par bond

,

Pass-through coupon rate

,

Payment-in-kind security

,

Price Value of a Basis Point

,

Primary Dealer

,

Prime broker

,

P&L

,

Past-due balance method

,

Previous balance method

,

Prime rate

,

Principal balance

,

Prime rate fund

,

Privilege dealer

,

Paid-in capital

,

Paid-in surplus

,

Private Investment in Public Equity

,

Program trading

,

Point-and-figure chart

,

Painting the tape

,

Paper trading

,

Plus tick rule

,

Reports and Records

,

Retention rate

,

Run rate

,

Real interest rate

,

Regulation Q

,

Reserve ratio

,

Reserve requirement

,

Rate covenant

,

Reading the tape

,

Regulation D

,

Regulation G

,

Regulation T

,

Regulation U

,

Restricted account

,

Rule 10b-6

,

Rule 15c3-1

,

Rule 19c3

,

Rule 405

,

Rule 415

,

Rate of exchange

,

Real economic growth rate

,

Red herring

,

Regulation A

,

Right to Know

,

Rate-improvement

,

Rate lock

,

Remaining principal balance

,

Renegotiable rate

,

Revolving line of credit

,

Rule of 78

,

Real estate broker

,

Rate of return

,

Real rate of return

,

Ring

,

Rule 13d

,

SEC filing

,

Selling, General and Administrative Expenses

,

SG&A

,

Savings account

,

Savings and Loan

,

Sight letter of credit

,

S&L

,

SEC

,

Securities and Exchange Commission

,

Spot rate

,

SEC fee

,

Sell the book

,

Street broker

,

Sweep account

,

Savings rate

,

Swap rate

,

Spot trading

,

Second-to-die insurance

,

Separate account

,

Sale and leaseback

,

Secured credit card

,

Start rate

,

Structured finance

,

Selling the spread

,

Self-directed retirement account

,

SEP Plan

,

Selling short against the box

,

Shorting against the box

,

Short sale rule

,

S Corporation

,

Separate tax returns

,

Sin tax

,

Standard mileage rate

,

Subchapter M

,

Subchapter S Corporation

,

Schedule C

,

Seek a market

,

S&P phenomenon

,

Stop and reverse

,

Suspended trading

,

Trial balance

,

T-Bill

,

Term to maturity

,

Trading

,

Take a position

,

Trading authorization

,

Trailing P/E

,

Trading range

,

Tenancy by the entirety

,

Teaser rate

,

Truth in Lending

,

Tenancy at will

,

The Street

,

Timing the market

,

Trading profit

,

Trading Index

,

Take a bath

,

Trading costs

,

Trading curb

,

Trading floor

,

Trading halt

,

Trading session

,

Trading volume

,

U.S. Government Agency Security

,

U.S. Savings Bond

,

U.S. Treasury

,

U.S. Treasury Bill

,

U.S. Treasury Bond

,

U.S. Treasury Note

,

U.S. Treasury Securities

,

Undermargined account

,

Unlisted trading

,

Unemployment rate

,

Unified Tax Credit

,

Unit of trading

,

Variable rate

,

Wrap account

,

Widow-and-orphan stock

,

W-2 Form

,

Wash sale rule

,

W formation

,

When, as, and if issued

,

Year-To-Date

,

Yield to call

,

Yield to maturity

,

Yield to worst


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