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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


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


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