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Rule 15c3-1

An 

SEC

 rule requiring broker/dealers maintain sufficient 

Liquid

 assets to satisfy their 

Capital

 requirements.



Related Terms: 11

Asset

,

Broker

,

Capital

,

Cap

,

Dealer

,

Deal

,

Heir

,

Liquid

,

Quid

,

Ring

,

SEC


Other Related Pages:

Category: Brokerages


Starting With: R


Semi Related Terms: 306  CLICK HERE TO VIEW

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


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