FT MarketWatch

Suitability Rules

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 Rule 405 or Know Your Customer.

Related Terms: 10 Broker, Call, Customer, ECU, Know Your Customer, NOW, Rule 405, SEC, Term, UIT
Other Related Pages: Category: Brokerages Starting With: S
Semi Related Terms: 477 CLICK HERE TO VIEW
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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, 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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, 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