FT MarketWatch

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
Other Related Pages: Category: Brokerages Starting With: S
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