Financial Dictionary

This dictionary contains:
24549
financial terms

Rules of fair practice



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
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Trade
To buy and sell; buying and selling.

Securities
Saleable papers, traded on stock exchanges, that yield an income (dividend, interest, etc.).



SIMILAR TERMS
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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 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.



PREVIOUS AND NEXT TERMS
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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

Rumortrage
A term combining the words "rumor" and arbitrage, used to describe trading that occurs on the basis of rumors of a takeover.

Rump
Usually used in the context of a merger or acquisition. A group of shareholders who refuse to tender their shares for a merger or acquisition.

Run
A run consists of a series of bid and offer quotes for different securities or maturities. Dealers give and ask for runs from each other.

Rundown
A summary of the amount and prices of a serial bond issue that is still available for purchase.

Running ahead
The illegal practice of trading in a security for a broker's personal account before placing an order for the same security for a customer.

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This dictionary contains 24549 terms.


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