Rule 15c3-1

10-Q, 10-K, 30-day wash rule, Active asset, Alternative assets, Asset, Asset/equity ratio, Available assets, Asset management account, Asset-backed security, Asset swap, At par, At best, At call, At risk, Asset acquisition, Asset class, Asset financing, Action to quiet title, As is, Assignment to creditors, Attorney in fact, Asset-based finance, Asset-based lending, Asset conversion loan, A shares, Asset allocation fund, Assets under management, Asset turnover, At the money, Across the board, Additional paid-in capital, Against the box, At the bell, At the close, At the figure, At the full, At the market, At the opening order, Away from the market, Below the line, Bid-to-cover ratio, Best-execution requirement, Broker, Broker loan, Brought over the wall, Buy the book, Breaking the syndicate, By the book, Broker loan rate, B shares, Beat the gun, Capital, Capital appreciation, Capital asset, Capital efficiency, Capital expenditure, Capital growth, Capital investment, Capital liability, Capital loss, Capital resource, Cash asset ratio, Central assets account, Cap, Capital market, Capital structure, Contra broker, Contract broker, Customer protection rule, Cap rate, Capital account, Capital consumption allowance, Capital formation, Chasing the market, Cheapest to deliver, Capital budget, Capital gains distribution, Cost of debt capital, Capital appreciation fund, C shares, Close to the money, Capital Asset Pricing Model, Capital commitment, Class A Shares, Class B Shares, Contributed capital, Capital gains tax, Capital loss carryover, Close a position, Cornering the market, Curbs in, Corporate venture capital, Dealer bank, Deposit in transit, Dealer market, Debt capital, Dealer, Deep discount broker, Discount broker, Dividend in arrears, Dividend requirement, Desk (the), Deal stock, De-escalation clause, De facto, Doing business as, Debtor in possession, Debtor-in-possession financing, Deep in the money, Deep out of the money, Dogs of the Dow, Deal, Deal flow, Earning asset, Escrowed to maturity, E-mini, Ex-pit transaction, Eligibility requirements, Equity capital, Financial asset, Financial capital, First In First Out, Fixed asset, Form 10-Q, Flight to quality, Floor broker, Front-ending an order, Forward deal, Forward P/E, Federal Reserve requirement, Form 8-K, Form S-1, Federal ID Number, G-7, G-8, Gather in the stops, Hidden asset, Hit the bid, Heir, Holder in due course, Hammering the market, Held at the opening, Holding the market, Inactive asset, Intangible asset, In escrow, Invested capital, Independent broker, In-house, Introducing broker, In line, Insurance broker, In intestacy, Interest rate cap, In play, In-process research and development, I/O strip, In-service withdrawal, Income exclusion rule, In and out, In sympathy, In the tank, Invisible venture capital, Jumping the gun, Last In First Out, Lending at a rate, Liquid, Legal assets, Lifetime cap, Loan-to-cost, Loan-to-value, Lock-in, Large cap, Leading the market, Listing requirements, Locked in, Level I quotes, Liquid market, Make a market, Mark-to-market, Marginal propensity to consume, Money at call, Mortgage broker, Market cap, Medium-cap, Micro cap, Mid cap, Net current assets, Net quick assets, Net tangible assets, Noncurrent asset, Non-financial asset, Nine-Bond Rule, National Association of Securities Dealers, National Association of Securities Dealers Automated Quotations system, Net capital ratio, Nominal asset, Net Asset Value, Nonperforming asset, Nasdaq Small Cap Market, Nominal capital, Off the books, Other current assets, Over-the-Counter, Online broker, Outside broker, One-share one-vote rule, On-the-spot loan, Out of the money, On the opening, Permanent capital, Paper dealer, Payment-in-kind security, Price Value of a Basis Point, Primary Dealer, Prime broker, P&L, Privilege dealer, Plan asset, Paid-in capital, Paid-in surplus, Private Investment in Public Equity, Perfect capital market, Preservation of capital, Painting the tape, Plus tick rule, Quick assets, Quid, Real asset, Return of capital, Return on Capital, Return on Invested Capital, Return on Total Assets, Regulation Q, Reserve requirement, Reading the tape, Regulation D, Regulation G, Regulation T, Regulation U, Rule 10b-6, Rule 15c3-1, Rule 19c3, Rule 405, Rule 415, Regulation A, Right to Know, Rule of 78, Real estate broker, Return on Capital Employed, Ring, Rule 13d, Risk capital, SEC filing, SG&A, Stranded asset, S&L, SEC, SEC fee, Sell the book, Street broker, Second-to-die insurance, Selling the spread, Small cap, Selling short against the box, Shorting against the box, Short sale rule, S Corporation, Subchapter M, Subchapter S Corporation, Schedule C, Seek a market, S&P phenomenon, Seed capital, Tangible asset, Total assets, T-Bill, Term to maturity, Take a position, Trailing P/E, Total asset turnover, Tenancy by the entirety, Truth in Lending, Tenancy at will, The Street, Timing the market, Take a bath, 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, Venture capital, Venture capital limited partnership, Working capital, Working capital loan, Wash sale rule, When, as, and if issued, Year-To-Date, Yield to call, Yield to maturity, Yield to worst, Y shares