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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
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