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Rule 405

A guideline stated or implied by various securities regulatory bodies which requires that brokers determine the suitability of investments for customers before making recommendations. also called Know Your 

Customer

 or 

Suitability Rules

.



Related Terms: 10

Broker

,

Call

,

Customer

,

ECU

,

Know Your Customer

,

NOW

,

SEC

,

Suitability Rules

,

Term

,

UIT


Other Related Pages:

Category: Brokerages


Starting With: R


Semi Related Terms: 478  CLICK HERE TO VIEW

10-Q

,

10-K

,

30-day wash rule

,

Allowance for depreciation

,

Accrual of discount

,

Amortization of premium

,

At par

,

All or any part

,

At best

,

At call

,

All-risks coverage

,

At risk

,

Add-on service

,

Abstract of title

,

Action to quiet title

,

Assignment to creditors

,

Attorney in fact

,

Amortization term

,

Assignment of mortgage

,

A shares

,

Automatic investment plan

,

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

,

Books of final entry

,

Books of original entry

,

Bottom line

,

Banking Act of 1933

,

Bid-to-cover ratio

,

Bureau of Public Debt

,

Broker

,

Broker loan

,

Brought over the wall

,

Buying on margin

,

Buy on close

,

Buy on opening

,

Buy the book

,

Balance of payments

,

Board of Governors

,

Breaking the syndicate

,

Bill of exchange

,

Bill of sale

,

Breach of trust

,

By the book

,

Bank term loan

,

Broker loan rate

,

Back-end load

,

B shares

,

Balanced investment strategy

,

Before-tax income

,

Breadth-of-market theory

,

Beat the gun

,

Capital investment

,

Cost Of Goods Sold

,

Cost of sales

,

Call

,

Call date

,

Called away

,

Called bond

,

Call price

,

Call protection

,

Call risk

,

Certificate of Participation

,

Committee on Uniform Securities Identification Procedures

,

Call money rate

,

Code of procedure

,

Contra broker

,

Contract broker

,

Customer protection rule

,

Capitalization of income

,

Cost of Living Adjustment

,

Cost-of-living index

,

Council of Economic Advisers

,

Customer

,

Chasing the market

,

Cheapest to deliver

,

Chicago Board of Trade

,

Convertible term insurance

,

Cost-of-living rider

,

Certificate of stock

,

Cost of carry

,

Certificate of title

,

Class action suit

,

Contract for deed

,

Cancellation of debt

,

Certificate of Claim

,

Closed-end credit

,

Cost of debt capital

,

Cost of funds

,

Credit line

,

Closed-end fund

,

Closed-end investment company

,

C shares

,

Call option

,

Call ratio backspread

,

Call swaption

,

Class of options

,

Close to the money

,

Covered call

,

Certificate of Occupancy

,

Cloud on title

,

Cash or Deferred Arrangement

,

Class A Shares

,

Class B Shares

,

Consensus recommendation

,

Crash of 1929

,

Crash of 1987

,

Coefficient of determination

,

Certificate of delivery

,

Close a position

,

Cornering the market

,

Curbs in

,

Deposit in transit

,

Date of issue

,

Date of payment

,

Drawn securities

,

Deep discount broker

,

Del credere agency

,

Discount broker

,

Division of Enforcement

,

Division of Investment Management

,

Division of Market Regulation

,

Date of record

,

Dividend in arrears

,

Desk (the)

,

Division of labor

,

Decreasing term life

,

De-escalation clause

,

De facto

,

Durable Power of Attorney

,

Date of maturity

,

Debtor in possession

,

Debtor-in-possession financing

,

Deed of Release

,

Deed of Trust

,

Discharge of bankruptcy

,

Discharge of lien

,

Due-on-sale clause

,

Deep in the money

,

Deep out of the money

,

Deed of Surrender

,

Department of Housing and Urban Development

,

Defensive investment strategy

,

Dogs of the Dow

,

Depth of market

,

Eurodollar certificate of deposit

,

Escrowed to maturity

,

Either-or order

,

ECU

,

E-mini

,

Exchange for futures

,

Exchange for physical

,

Exchange of spot

,

Ex-all

,

Employee Retirement Income Security Act of 1974

,

First In First Out

,

Form 10-Q

,

First call date

,

Flight to quality

,

Flow of funds

,

Federal Call

,

Fill or kill

,

Floor broker

,

Forward P/E

,

Factors of production

,

Favorable balance of trade

,

Foreign direct investment

,

Fee-for-service

,

Front-end load

,

Form 8-K

,

Form S-1

,

Family of funds

,

Fund of funds

,

Fixed investment trust

,

Free right of exchange

,

Federal ID Number

,

Government securities

,

Government Securities Clearing Corporation

,

Guaranteed Investment Contract

,

General Securities Representative Examination

,

G-7

,

General Agreement on Tariffs and Trade

,

G-8

,

Gather in the stops

,

Hart-Scott-Rodino Act of 1976

,

Hit the bid

,

House call

,

House of issue

,

Holder in due course

,

Home equity line of credit

,

Hammering the market

,

Held at the opening

,

Holding the market

,

Investment flows

,

In escrow

,

Intermediate-term

,

International Securities Identification Number

,

Investment bill

,

Investment-grade bond

,

Investment letter

,

Investment security

,

Investment value

,

Independent broker

,

In-house

,

Introducing broker

,

Investment Advisor Act of 1940

,

Investment bank

,

Investment banker

,

Investment Bankers Association

,

Investment banking

,

Investment banking group

,

Investment Company Act of 1940

,

In line

,

Investment multiplier

,

Insurance broker

,

Insider Trading sanctions Act of 1984

,

Internal Rate of Return

,

Indication of interest

,

In intestacy

,

In play

,

In-process research and development

,

Investment company

,

Investment fund

,

Investment objective

,

Investment policy

,

Investment trust

,

Implied volatility

,

I/O strip

,

Investment property

,

In-service withdrawal

,

Investment philosophy

,

Income exclusion rule

,

Imbalance of orders

,

In and out

,

In sympathy

,

In the tank

,

Jumping the gun

,

Know Your Customer

,

Last In First Out

,

Lender of last resort

,

Law of one price

,

Long-term

,

Lending at a rate

,

Limit-on-close order

,

Law of demand

,

Law of supply

,

Level term insurance

,

Long-term care insurance

,

Long-term debt

,

Long-Term Equity Anticipation Securities

,

Letter of comment

,

Line of credit

,

Loan-to-cost

,

Loan-to-value

,

Lock-in

,

Long-term mortgage

,

Long-term lease

,

Leading the market

,

Locked in

,

Long-term gain or loss

,

Level I quotes

,

Medium-term

,

Medium-term bond

,

Municipal investment trust

,

Maintenance call

,

Make a market

,

Margin call

,

Market on close order

,

Mark-to-market

,

Medium of exchange

,

Marginal propensity to consume

,

Making delivery

,

Money at call

,

Mortgage broker

,

Marketable securities

,

Net investment

,

Negotiable certificate of deposit

,

Negotiable Order of Withdrawal

,

NOW

,

Nine-Bond Rule

,

Notice of Sale

,

National Association of Securities Dealers

,

National Association of Securities Dealers Automated Quotations system

,

National Securities Clearing Corporation

,

National Securities Trade Association

,

No limit order

,

No quote

,

No-Fault

,

No-Action Letter

,

No-lien affidavit

,

Notice of Default

,

No-load

,

Naked call

,

National Association of Real Estate Investment Trusts

,

Non-investment property

,

No-load stock

,

No book

,

Off the books

,

Other long term liabilities

,

Office of Thrift Supervision

,

Out-of-favor

,

Over-the-Counter

,

On-floor order

,

Online broker

,

On margin

,

Or better

,

Outside broker

,

One-share one-vote rule

,

Opinion of title

,

On account

,

On-the-spot loan

,

Open-end credit

,

Open-end mortgage

,

Open-end fund

,

Open-end management company

,

Out of the money

,

Open-end lease

,

On-balance volume

,

On close

,

On open

,

On the opening

,

Pooling of interests

,

Payment-in-kind security

,

Price Value of a Basis Point

,

Provisional call feature

,

Payment for order flow

,

Prime broker

,

Public Securities Association

,

P&L

,

Provision for income taxes

,

Power of Attorney

,

Prioritization of debt

,

Paid-in capital

,

Paid-in surplus

,

Percent held by institutions

,

Private Investment in Public Equity

,

Preservation of capital

,

Painting the tape

,

Plus tick rule

,

Put/call ratio

,

Return of capital

,

Return on Capital

,

Return on Invested Capital

,

Return on Total Assets

,

Regulation Q

,

Real Estate Mortgage Investment Conduit

,

Reading the tape

,

Regulation D

,

Regulation G

,

Regulation T

,

Regulation U

,

Round of funding

,

Rule 10b-6

,

Rule 15c3-1

,

Rule 19c3

,

Rule 405

,

Rule 415

,

Rules of Fair Practice

,

Rate of exchange

,

Reciprocal of European terms

,

Regulated investment company

,

Regulation A

,

Right of first refusal

,

Right of rescission

,

Right to Know

,

Revolving line of credit

,

Right of recourse

,

Rule of 78

,

Real estate broker

,

Right of redemption

,

Retirement Equity Act of 1984

,

Return on Capital Employed

,

Rate of return

,

Real rate of return

,

Rule 13d

,

SEC filing

,

SG&A

,

Straight line depreciation

,

Short-term reserves

,

Sight letter of credit

,

S&L

,

State bank

,

SEC

,

Securities and Exchange Commission

,

Short-term

,

SEC fee

,

Securities analyst

,

Securities Industry Association

,

Securities Investor Protection Corporation

,

Securities loan

,

Segregation of securities

,

Sell the book

,

Street broker

,

Suitability Rules

,

Standard of living

,

Second-to-die insurance

,

Statute of Limitations

,

Statutory investment

,

Satisfaction of debt

,

Securities lending

,

Staggered board of directors

,

Systematic investment plan

,

Selling the spread

,

Savings Incentive Match Plan for Employees

,

Selling short against the box

,

Shorting against the box

,

Short sale rule

,

S Corporation

,

Short-term gain or loss

,

Subchapter M

,

Subchapter S Corporation

,

Schedule C

,

Securities Act of 1933

,

Securities Acts Amendments of 1975

,

Securities Exchange Act of 1934

,

Securities fraud

,

Seek a market

,

Short swing rules

,

S&P phenomenon

,

Top line

,

Term CD

,

T-Bill

,

Term

,

Term bond

,

Term to maturity

,

Take a position

,

Trailing P/E

,

Term insurance

,

Tenancy by the entirety

,

TED spread

,

Term deposit

,

Term loan

,

Truth in Lending

,

Term trust

,

Tenancy at will

,

Top hat plan

,

The Street

,

Timing the market

,

Taxpayer Relief Act of 1997

,

Tax Reform Act of 1986

,

Tax Reform Act of 1993

,

Take a bath

,

Term repo

,

Term sheet

,

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

,

Uniform Securities Act

,

Uncovered call

,

UIT

,

Unit Investment Trust

,

Unit of trade

,

Unit of trading

,

Vertical line charting

,

Waiver of premium

,

W-2 Form

,

Wash sale rule

,

W formation

,

X or XD

,

Year-To-Date

,

Yield to call

,

Yield to maturity

,

Yield to worst

,

Y shares

,

Zero-investment portfolio


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