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Segregation of securities
SEC regulations requiring accounts holding Customer funds to be kept separate from Brokerage firm accounts to keep the two clearly distinct in case the Brokerage becomes Insolvent .
Related Terms: 11
Account , Broker , Brokerage , Brokerage firm , Clear , Customer , Fund , Inc. , Insolvent , NSO , Ring
Semi Related Terms: 421 CLICK HERE TO VIEW
10-Q ,
10-K ,
12b-1 funds ,
Account ,
Accounts receivable ,
Accounts receivable aging ,
Accounts receivable turnover ,
Account statement ,
Account aggregation ,
Account balance ,
Active account ,
Adjustable rate ,
Alternate account ,
Asset management account ,
Automatic Funds Transfer ,
Above par ,
At par ,
Account executive ,
At best ,
At call ,
Adjustable rate preferred stock ,
At risk ,
Add-on service ,
Action to quiet title ,
As is ,
Assignment to creditors ,
Attorney in fact ,
Adjustable Rate Mortgage ,
Advance rate ,
Annual Percentage Rate ,
Applicable federal rate ,
Aggressive growth fund ,
A shares ,
Asset allocation fund ,
At the money ,
Absorption rate ,
Age-weighted plan ,
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 ,
Burn rate ,
Bank holding company ,
Balanced fund ,
Below par ,
Benchmark interest rate ,
Bid-to-cover ratio ,
Blend fund ,
Bond fund ,
Broker ,
Brokerage ,
Brokerage firm ,
Brokerage house ,
Broker loan ,
Brought over the wall ,
Buying on margin ,
Buy on close ,
Buy on opening ,
Buy the book ,
Bank Rate ,
Base interest rate ,
Breaking the syndicate ,
By the book ,
Base rate ,
Blended rate ,
Broker loan rate ,
B shares ,
Break-even tax rate ,
Beat the gun ,
Contra account ,
Central assets account ,
Checking account ,
Clear ,
Clearinghouse funds ,
Custodial account ,
Committee on Uniform Securities Identification Procedures ,
Coupon rate ,
Current production rate ,
Call money rate ,
Cash account ,
Clearing firm ,
Contra broker ,
Contract broker ,
Customer protection rule ,
Capitalization rate ,
Cap rate ,
Capital account ,
Civilian unemployment rate ,
Current account ,
Customer ,
Chasing the market ,
Cheapest to deliver ,
Clear title ,
Cost of funds ,
Capital appreciation fund ,
Clone fund ,
Closed-end fund ,
Closed fund ,
Core holding ,
Crossover fund ,
C shares ,
Close to the money ,
Cloud on title ,
Class A Shares ,
Class B Shares ,
Close a position ,
Cornering the market ,
Curbs in ,
Deposit in transit ,
Drawing account ,
Deep discount broker ,
Discount broker ,
Discretionary account ,
Division of Market Regulation ,
Dividend in arrears ,
Dividend rate ,
Desk (the) ,
Discount rate ,
Doing business as ,
Debtor in possession ,
Debtor-in-possession financing ,
Due-on-sale clause ,
Dual-purpose fund ,
Deep in the money ,
Deep out of the money ,
Deferred account ,
Dogs of the Dow ,
Effective annual interest rate ,
Electronic Funds Transfer ,
Escrowed to maturity ,
External funds ,
Exchange rate ,
Effective par ,
Economic growth rate ,
E-mini ,
Effective tax rate ,
Enhanced index fund ,
Environmental fund ,
Equity fund ,
Exchange fund ,
Early exercise ,
Early withdrawal penalty ,
First In First Out ,
Form 10-Q ,
Federal funds ,
Fed funds ,
Frozen account ,
Flight to quality ,
Floating-rate bond ,
Flow of funds ,
Firm quotation ,
Floor broker ,
Full-service brokerage ,
Fund supermarket ,
Floating exchange rate ,
Foreign exchange rate ,
Forward exchange rate ,
Forward P/E ,
Federal Reserve Discount Rate ,
Form 8-K ,
Form S-1 ,
Firm commitment offering ,
Fund ,
Firm commitment lending ,
Fixed rate ,
Fixed-rate loan ,
Fixed-Rate Mortgage ,
Floating rate ,
Forward interest rate ,
Forward Rate Agreement ,
Family of funds ,
Focused fund ,
Fund family ,
Fund manager ,
Fund of funds ,
Free and clear ,
Flexible spending account ,
General account ,
G-7 ,
General Agreement on Tariffs and Trade ,
G-8 ,
Global fund ,
Growth and income fund ,
Growth fund ,
Gather in the stops ,
Hit the bid ,
House account ,
Holding company ,
Holder in due course ,
Hedge fund ,
Holding period ,
Hammering the market ,
Held at the opening ,
Holding the market ,
Inactive account ,
Insured account ,
In escrow ,
Interest rate collar ,
Interest rate risk ,
Interest rate swap ,
Independent broker ,
In-house ,
Institutional brokerage ,
Introducing broker ,
In line ,
Inflation rate ,
International Monetary Fund ,
Interest rate futures ,
Interbank Rate ,
Insurance broker ,
Internal Rate of Return ,
Inc. ,
In intestacy ,
Insolvent ,
Interest rate ,
Interest rate cap ,
Interest rate ceiling ,
Interest rate floor ,
In play ,
In-process research and development ,
Income fund ,
Index fund ,
Institutional fund ,
International fund ,
Investment fund ,
Interest rate option ,
I/O strip ,
In-service withdrawal ,
In and out ,
In sympathy ,
In the tank ,
Joint account ,
Jumping the gun ,
Know Your Customer ,
Last In First Out ,
Lending at a rate ,
Limit-on-close order ,
London Inter-Bank Offer Rate ,
Legal age ,
Loan-to-cost ,
Loan-to-value ,
Lock-in ,
Lifecycle fund ,
Load fund ,
Leading the market ,
Locked in ,
Level I quotes ,
Municipal bond fund ,
Muni fund ,
Make a market ,
Managed account ,
Margin account ,
Margin rate ,
Market on close order ,
Mark-to-market ,
Member firm ,
Marginal propensity to consume ,
Market rate ,
Money at call ,
Mortgage broker ,
Mortgage rate ,
Mutual fund ,
Mutual fund custodian ,
Mutual fund symbol ,
Matching funds ,
Mill rate ,
Mixed account ,
Nostro account ,
Nominal rate ,
NASD Regulation ,
Nonmember firm ,
NSO ,
Normal retirement age ,
Off the books ,
Over-the-Counter ,
On-floor order ,
Online broker ,
On margin ,
Option account ,
Outside broker ,
Operating rate ,
Omnibus account ,
On account ,
On-the-spot loan ,
Open-end fund ,
Option income fund ,
Out of the money ,
Old age, survivors, and disability insurance ,
On-balance volume ,
On close ,
On open ,
On the opening ,
Par bond ,
Pass-through coupon rate ,
Payment-in-kind security ,
Price Value of a Basis Point ,
Prime broker ,
Prime brokerage ,
P&L ,
Prime rate ,
Pooled fund ,
Prime rate fund ,
Publicly-traded fund ,
Pure index fund ,
Pension fund ,
Paid-in capital ,
Paid-in surplus ,
Private Investment in Public Equity ,
Painting the tape ,
Retention rate ,
Return on Capital ,
Return on Invested Capital ,
Return on Total Assets ,
Run rate ,
Real interest rate ,
Regulation Q ,
Rate covenant ,
Reading the tape ,
Regulation D ,
Regulation G ,
Regulation T ,
Regulation U ,
Restricted account ,
Retail brokerage ,
Rate of exchange ,
Real economic growth rate ,
Regional fund ,
Regulation A ,
Right to Know ,
Rate-improvement ,
Rate lock ,
Regulation Z ,
Renegotiable rate ,
Real estate broker ,
Regulation FD ,
Return on Capital Employed ,
Rate of return ,
Real rate of return ,
Ring ,
SEC filing ,
SG&A ,
Savings account ,
Savings Association Insurance Fund ,
S&L ,
SEC ,
Series EE bond ,
Sinking fund ,
Spot rate ,
SEC fee ,
Sell the book ,
Street broker ,
Sweep account ,
Savings rate ,
Swap rate ,
Second-to-die insurance ,
Separate account ,
Start rate ,
Sector fund ,
Series fund ,
Socially responsible fund ,
Specialized fund ,
Specialty fund ,
Stock fund ,
Selling the spread ,
Self-directed retirement account ,
SEP Plan ,
Selling short against the box ,
Shorting against the box ,
S Corporation ,
Separate tax returns ,
Standard mileage rate ,
Subchapter M ,
Subchapter S Corporation ,
Same Day Funds Settlement ,
Schedule C ,
Seek a market ,
S&P phenomenon ,
T-Bill ,
Term to maturity ,
Take a position ,
Two-sided market ,
Two-way market ,
Trailing P/E ,
Tenancy by the entirety ,
Trust fund ,
Teaser rate ,
Truth in Lending ,
Two-step mortgage ,
Tax-free bond fund ,
Tax-managed fund ,
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 ,
Undermargined account ,
Unemployment rate ,
Variable rate ,
Wrap account ,
World fund ,
W-2 Form ,
W formation ,
When, as, and if issued ,
Year-To-Date ,
Yield to call ,
Yield to maturity ,
Yield to worst ,
Y shares