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Rule 144
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Rule 144Restricts solicitation of buyers to complete the sell order of an insider (unless the firm is already a buyer); signified by a flashing "E" on Quotron.
RELATED TERMS--------------------------------------
Order
Instruction to a broker-dealer to buy, sell, deliver, or receive securities or commodities that commits the issuer of the "order" to the terms specified.
Insider
Any person who has knowledge of, or access to, valuable nonpublic information about a corporation.
Firm
1) Refers to an order to buy or sell that can be executed without confirmation for some fixed period. 2) A synonym for company.
SIMILAR TERMS--------------------------------------
Rule 13-d
Often used in risk arbitrage. Requirement under Section 13-d of the Securities Act of 1934 that a form must be filed with the SEC within ten business days of acquiring direct or beneficial ownership of 5% or more of any class of equity securities in a publicly held corporation.
Rule 14-d
Often used in risk arbitrage. Regulations and restrictions covering public tender offers and related disclosure requirements.
Rule 144a
SEC rule allowing qualified institutional buyers to buy and trade unregistered securities.
Rule 405
NYSE codification of "know your customer" rules, which require that a customer's situation is suitable for any investment being made.
Rule 415
Permits corporations to file a registration for securities they intend to issue in the future when market conditions are favorable.
Rule lOb-5
An SEC rule that prohibits trading by insiders on material nonpublic information. This is also the rule under which a company may be sued for false or misleading disclosure.
Rule of 72
A formula used to determine the amount of time it will take for invested money to double at a given compound interest rate, which is 72 divided by the interest rate.
Rule of absolute priority
A condition of bankruptcy proceedings under which junior (subordinated) claim holders can receive no payment until senior (priority) claim holders are paid in full.
Rules of fair practice
Rules established by the NASD that lay down guidelines for just and equitable principles of trade and business in securities markets.
PREVIOUS AND NEXT TERMS--------------------------------------
Round turn
Procedure by which the long or short position of an individual is offset by an opposite transaction or by accepting or making delivery of the actual financial instrument or physical commodity.
Royalty
Payment for the right to use intellectual property or natural resources.
Royalty, royalties
Money paid to copyright owners and authors.
Rubber check
A check that bounces for lack of funds.
Rule 13-d
Often used in risk arbitrage. Requirement under Section 13-d of the Securities Act of 1934 that a form must be filed with the SEC within ten business days of acquiring direct or beneficial ownership of 5% or more of any class of equity securities in a publicly held corporation.
Rule 144
Rule 144a
SEC rule allowing qualified institutional buyers to buy and trade unregistered securities.
Rule 14-d
Often used in risk arbitrage. Regulations and restrictions covering public tender offers and related disclosure requirements.
Rule 405
NYSE codification of "know your customer" rules, which require that a customer's situation is suitable for any investment being made.
Rule 415
Permits corporations to file a registration for securities they intend to issue in the future when market conditions are favorable.
Rule lOb-5
An SEC rule that prohibits trading by insiders on material nonpublic information. This is also the rule under which a company may be sued for false or misleading disclosure.
RELATED TERMS--------------------------------------
Order
Instruction to a broker-dealer to buy, sell, deliver, or receive securities or commodities that commits the issuer of the "order" to the terms specified.
Insider
Any person who has knowledge of, or access to, valuable nonpublic information about a corporation.
Firm
1) Refers to an order to buy or sell that can be executed without confirmation for some fixed period. 2) A synonym for company.
SIMILAR TERMS--------------------------------------
Rule 13-d
Often used in risk arbitrage. Requirement under Section 13-d of the Securities Act of 1934 that a form must be filed with the SEC within ten business days of acquiring direct or beneficial ownership of 5% or more of any class of equity securities in a publicly held corporation.
Rule 14-d
Often used in risk arbitrage. Regulations and restrictions covering public tender offers and related disclosure requirements.
Rule 144a
SEC rule allowing qualified institutional buyers to buy and trade unregistered securities.
Rule 405
NYSE codification of "know your customer" rules, which require that a customer's situation is suitable for any investment being made.
Rule 415
Permits corporations to file a registration for securities they intend to issue in the future when market conditions are favorable.
Rule lOb-5
An SEC rule that prohibits trading by insiders on material nonpublic information. This is also the rule under which a company may be sued for false or misleading disclosure.
Rule of 72
A formula used to determine the amount of time it will take for invested money to double at a given compound interest rate, which is 72 divided by the interest rate.
Rule of absolute priority
A condition of bankruptcy proceedings under which junior (subordinated) claim holders can receive no payment until senior (priority) claim holders are paid in full.
Rules of fair practice
Rules established by the NASD that lay down guidelines for just and equitable principles of trade and business in securities markets.
PREVIOUS AND NEXT TERMS--------------------------------------
Round turn
Procedure by which the long or short position of an individual is offset by an opposite transaction or by accepting or making delivery of the actual financial instrument or physical commodity.
Royalty
Payment for the right to use intellectual property or natural resources.
Royalty, royalties
Money paid to copyright owners and authors.
Rubber check
A check that bounces for lack of funds.
Rule 13-d
Often used in risk arbitrage. Requirement under Section 13-d of the Securities Act of 1934 that a form must be filed with the SEC within ten business days of acquiring direct or beneficial ownership of 5% or more of any class of equity securities in a publicly held corporation.
Rule 144
Rule 144a
SEC rule allowing qualified institutional buyers to buy and trade unregistered securities.
Rule 14-d
Often used in risk arbitrage. Regulations and restrictions covering public tender offers and related disclosure requirements.
Rule 405
NYSE codification of "know your customer" rules, which require that a customer's situation is suitable for any investment being made.
Rule 415
Permits corporations to file a registration for securities they intend to issue in the future when market conditions are favorable.
Rule lOb-5
An SEC rule that prohibits trading by insiders on material nonpublic information. This is also the rule under which a company may be sued for false or misleading disclosure.
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This dictionary contains 24549 terms.
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