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Rule 405
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Rule 405NYSE codification of "know your customer" rules, which require that a customer's situation is suitable for any investment being made.
RELATED TERMS--------------------------------------
Suitable
Describing a strategy or trading philosophy in which the investor is operating in accordance with his(her) financial means and investment objectives.
Investment
The purchase of materials, machines, property, securities, etc. in order to produce income or profits.
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 144
Restricts 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.
Rule 144a
SEC rule allowing qualified institutional buyers to buy and trade unregistered securities.
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--------------------------------------
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
Restricts 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.
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
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.
RELATED TERMS--------------------------------------
Suitable
Describing a strategy or trading philosophy in which the investor is operating in accordance with his(her) financial means and investment objectives.
Investment
The purchase of materials, machines, property, securities, etc. in order to produce income or profits.
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 144
Restricts 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.
Rule 144a
SEC rule allowing qualified institutional buyers to buy and trade unregistered securities.
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--------------------------------------
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
Restricts 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.
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
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.
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This dictionary contains 24549 terms.
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