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Regulation SHO
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Regulation SHOA regulatory addition by the Securities & Exchange Commission, expanding and updating the restrictions placed on short sale transactions.
RELATED TERMS--------------------------------------
Securities
Saleable papers, traded on stock exchanges, that yield an income (dividend, interest, etc.).
Exchange
A marketplace in which shares, options and futures on stocks, bonds, commodities, and indexes are traded.
Commission
The fee paid to a broker to execute a trade, based on number of shares, bonds, options, and/or their dollar value. In 1975, deregulation led to the establishment of discount brokers, who charge lower commissions than full service brokers.
Short
One who has sold a contract to establish a market position and who has not yet closed out this position through an offsetting purchase; the opposite of a long position.
Sale
An agreement between a buyer and a seller on the price to be paid for a security, followed by delivery.
SIMILAR TERMS--------------------------------------
Regular settlement
Transaction in which a stock contract is settled and delivered on the fifth full business day following the date of the transaction (trade date). In Japan, regular settlement occurs three business days following the trade date; in London, two weeks following the trade date (at times, three weeks); in France, once per month.
Regular way settlement
In the money and bond markets, the standard basis on which some security trades are settled is that the delivery of the securities purchased is made against payment in Fed funds on the day following the transaction.
Regular way trade
A type of trade that is settled through the regular settlement cycle required for the particular investment being traded.
Regulated commodities
The group of registered commodity futures and options contracts traded on organized U.S. futures exchanges.
Regulated investment company
An investment company allowed to pass capital gains, dividends, and interest earned on fund investments directly to its shareholders so that it is taxed only at the personal level, and double taxation is avoided.
Regulation
Governmental control of business, concerning safety, minimum wages, etc.
Regulation A
An exemption from the Securities Act of 1933 that exempts small public offerings, valued at less than $1.5MM from most registration requirements with the SEC.
Regulation D
There are two Regulation Ds. First, it refers to the exemption from the Securities Act of 1933 for Private Placements. These placements are exempt from registration and prospectus delivery requirements. Second, it refers to a Federal Reserve Board regulation that currently requires member banks to hold reserves against their net borrowings from foreign offices of other banks over a 28-day averaging period.
Regulation FD (fair disclosure)
U.S. S.E.C. regulation whose purpose is to ensure that select groups of investors are not privy to firm-specific information before other investors. Executives are not allowed to reveal nonpublic information during their communications with analysts and select shareholders.
Regulation G
Federal Reserve Board regulation of lenders other than commercial banks, brokers, or dealers that provide credit for the purchase of or carrying of securities. This regulation was discontinued by a 1998 amendment.
Regulation M
Federal Reserve Board regulation that currently requires member banks to hold reserves against their net borrowings from their foreign branches over a 28-day averaging period.
Regulation Q
Federal Reserve Board regulation imposing caps on the rates that banks may pay on savings and time deposits. Currently time deposits with a denomination of $100,000 or more are exempt from Reg Q.
Regulation T
Federal Reserve Board regulation that deals with granting credit to customers by securities brokers, dealers, and exchange member as far as initial margin requirements and securities that are covered under the rules.
Regulation T calls
Federal Reserve Board Regulation T margin calls are issued when a customer makes a transaction in a margin account and does not meet the minimum initial requirement of 50% cash or loan available. This margin call is referred to as a Fed Call.
Regulation U
Federal Reserve Board limit on how much credit a bank can allow a customer for the purchase and carrying of margin securities.
Regulations
Rules specifying the appropriate behavior of agencies, organizations or individuals in the securities industry.
Regulatory accounting procedures (RAP)
Accounting principles required by the FHLB that allow S&Ls to elect annually to defer gains and losses on the sale of assets and amortize these deferrals over the average life of the asset sold.
Regulatory pricing risk
Risk that arises when insurance companies are subject to regulation of the premium rates that can they charge.
Regulatory surplus
The surplus as measured using regulatory accounting principles (RAP), which may allow the nonmarket valuation of assets or liabilities and which may be materially different from economic surplus.
PREVIOUS AND NEXT TERMS--------------------------------------
Regulation D
There are two Regulation Ds. First, it refers to the exemption from the Securities Act of 1933 for Private Placements. These placements are exempt from registration and prospectus delivery requirements. Second, it refers to a Federal Reserve Board regulation that currently requires member banks to hold reserves against their net borrowings from foreign offices of other banks over a 28-day averaging period.
Regulation FD (fair disclosure)
U.S. S.E.C. regulation whose purpose is to ensure that select groups of investors are not privy to firm-specific information before other investors. Executives are not allowed to reveal nonpublic information during their communications with analysts and select shareholders.
Regulation G
Federal Reserve Board regulation of lenders other than commercial banks, brokers, or dealers that provide credit for the purchase of or carrying of securities. This regulation was discontinued by a 1998 amendment.
Regulation M
Federal Reserve Board regulation that currently requires member banks to hold reserves against their net borrowings from their foreign branches over a 28-day averaging period.
Regulation Q
Federal Reserve Board regulation imposing caps on the rates that banks may pay on savings and time deposits. Currently time deposits with a denomination of $100,000 or more are exempt from Reg Q.
Regulation SHO
Regulation T
Federal Reserve Board regulation that deals with granting credit to customers by securities brokers, dealers, and exchange member as far as initial margin requirements and securities that are covered under the rules.
Regulation T calls
Federal Reserve Board Regulation T margin calls are issued when a customer makes a transaction in a margin account and does not meet the minimum initial requirement of 50% cash or loan available. This margin call is referred to as a Fed Call.
Regulation U
Federal Reserve Board limit on how much credit a bank can allow a customer for the purchase and carrying of margin securities.
Regulations
Rules specifying the appropriate behavior of agencies, organizations or individuals in the securities industry.
Regulatory accounting procedures (RAP)
Accounting principles required by the FHLB that allow S&Ls to elect annually to defer gains and losses on the sale of assets and amortize these deferrals over the average life of the asset sold.
RELATED TERMS--------------------------------------
Securities
Saleable papers, traded on stock exchanges, that yield an income (dividend, interest, etc.).
Exchange
A marketplace in which shares, options and futures on stocks, bonds, commodities, and indexes are traded.
Commission
The fee paid to a broker to execute a trade, based on number of shares, bonds, options, and/or their dollar value. In 1975, deregulation led to the establishment of discount brokers, who charge lower commissions than full service brokers.
Short
One who has sold a contract to establish a market position and who has not yet closed out this position through an offsetting purchase; the opposite of a long position.
Sale
An agreement between a buyer and a seller on the price to be paid for a security, followed by delivery.
SIMILAR TERMS--------------------------------------
Regular settlement
Transaction in which a stock contract is settled and delivered on the fifth full business day following the date of the transaction (trade date). In Japan, regular settlement occurs three business days following the trade date; in London, two weeks following the trade date (at times, three weeks); in France, once per month.
Regular way settlement
In the money and bond markets, the standard basis on which some security trades are settled is that the delivery of the securities purchased is made against payment in Fed funds on the day following the transaction.
Regular way trade
A type of trade that is settled through the regular settlement cycle required for the particular investment being traded.
Regulated commodities
The group of registered commodity futures and options contracts traded on organized U.S. futures exchanges.
Regulated investment company
An investment company allowed to pass capital gains, dividends, and interest earned on fund investments directly to its shareholders so that it is taxed only at the personal level, and double taxation is avoided.
Regulation
Governmental control of business, concerning safety, minimum wages, etc.
Regulation A
An exemption from the Securities Act of 1933 that exempts small public offerings, valued at less than $1.5MM from most registration requirements with the SEC.
Regulation D
There are two Regulation Ds. First, it refers to the exemption from the Securities Act of 1933 for Private Placements. These placements are exempt from registration and prospectus delivery requirements. Second, it refers to a Federal Reserve Board regulation that currently requires member banks to hold reserves against their net borrowings from foreign offices of other banks over a 28-day averaging period.
Regulation FD (fair disclosure)
U.S. S.E.C. regulation whose purpose is to ensure that select groups of investors are not privy to firm-specific information before other investors. Executives are not allowed to reveal nonpublic information during their communications with analysts and select shareholders.
Regulation G
Federal Reserve Board regulation of lenders other than commercial banks, brokers, or dealers that provide credit for the purchase of or carrying of securities. This regulation was discontinued by a 1998 amendment.
Regulation M
Federal Reserve Board regulation that currently requires member banks to hold reserves against their net borrowings from their foreign branches over a 28-day averaging period.
Regulation Q
Federal Reserve Board regulation imposing caps on the rates that banks may pay on savings and time deposits. Currently time deposits with a denomination of $100,000 or more are exempt from Reg Q.
Regulation T
Federal Reserve Board regulation that deals with granting credit to customers by securities brokers, dealers, and exchange member as far as initial margin requirements and securities that are covered under the rules.
Regulation T calls
Federal Reserve Board Regulation T margin calls are issued when a customer makes a transaction in a margin account and does not meet the minimum initial requirement of 50% cash or loan available. This margin call is referred to as a Fed Call.
Regulation U
Federal Reserve Board limit on how much credit a bank can allow a customer for the purchase and carrying of margin securities.
Regulations
Rules specifying the appropriate behavior of agencies, organizations or individuals in the securities industry.
Regulatory accounting procedures (RAP)
Accounting principles required by the FHLB that allow S&Ls to elect annually to defer gains and losses on the sale of assets and amortize these deferrals over the average life of the asset sold.
Regulatory pricing risk
Risk that arises when insurance companies are subject to regulation of the premium rates that can they charge.
Regulatory surplus
The surplus as measured using regulatory accounting principles (RAP), which may allow the nonmarket valuation of assets or liabilities and which may be materially different from economic surplus.
PREVIOUS AND NEXT TERMS--------------------------------------
Regulation D
There are two Regulation Ds. First, it refers to the exemption from the Securities Act of 1933 for Private Placements. These placements are exempt from registration and prospectus delivery requirements. Second, it refers to a Federal Reserve Board regulation that currently requires member banks to hold reserves against their net borrowings from foreign offices of other banks over a 28-day averaging period.
Regulation FD (fair disclosure)
U.S. S.E.C. regulation whose purpose is to ensure that select groups of investors are not privy to firm-specific information before other investors. Executives are not allowed to reveal nonpublic information during their communications with analysts and select shareholders.
Regulation G
Federal Reserve Board regulation of lenders other than commercial banks, brokers, or dealers that provide credit for the purchase of or carrying of securities. This regulation was discontinued by a 1998 amendment.
Regulation M
Federal Reserve Board regulation that currently requires member banks to hold reserves against their net borrowings from their foreign branches over a 28-day averaging period.
Regulation Q
Federal Reserve Board regulation imposing caps on the rates that banks may pay on savings and time deposits. Currently time deposits with a denomination of $100,000 or more are exempt from Reg Q.
Regulation SHO
Regulation T
Federal Reserve Board regulation that deals with granting credit to customers by securities brokers, dealers, and exchange member as far as initial margin requirements and securities that are covered under the rules.
Regulation T calls
Federal Reserve Board Regulation T margin calls are issued when a customer makes a transaction in a margin account and does not meet the minimum initial requirement of 50% cash or loan available. This margin call is referred to as a Fed Call.
Regulation U
Federal Reserve Board limit on how much credit a bank can allow a customer for the purchase and carrying of margin securities.
Regulations
Rules specifying the appropriate behavior of agencies, organizations or individuals in the securities industry.
Regulatory accounting procedures (RAP)
Accounting principles required by the FHLB that allow S&Ls to elect annually to defer gains and losses on the sale of assets and amortize these deferrals over the average life of the asset sold.
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This dictionary contains 24549 terms.
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