Rule 15c3-3

0.01 sec.

Rule 15c3-3

An SEC rule requiring broker-dealers to keep securities for which a client has paid in full separate from securities the client has purchased on margin as well as from securities used as collateral on a margin account.

Rule 15c3-3

An SEC rule that regulates the manner in which broker-dealers handle customers' fully paid securities and security values in excess of margin requirements. Fully paid securities must be segregated by broker-dealers.

Want to thank TFD for its existence? Tell a friend about us, add a link to this page, add the site to iGoogle, or visit the webmaster's page for free fun content.

?Page tools

Printer friendly
Cite / link

Feedback
Add definition

Mentioned in	?		References in periodicals archive	?		Financial browser	?		Full browser	?
net capital requirement Rule 15c3-1 Rule 15c3-2 Segregation Segregation of Securities			OTCBB:EVSC) an early-stage drug development company that pioneers new cardiovascular and metabolic drug therapies, announced today the Company's support of the SEC Amendment to the Collateral Requirements in Rule 15c3-3, which requires broker-dealers to provide full collateral when borrowing fully paid and excess margin securities from customers (http://www. Endovasc Lauds SEC Amendment Strengthening Rule on Delivery of Stock by Business Wire OTCBB:ITHH), today announced the Company's support of the SEC Amendment to the Collateral Requirements in Rule 15c3-3, which requires broker-dealers to provide full collateral when borrowing fully paid and excess margin securities from customers (http://www. ITIS Holdings Inc. Lauds SEC Amendment Strengthening Rule on Delivery ... by Business Wire			Rule 105b-1 Rule 10a-1 Rule 10b-10 Rule 10b-13 Rule 10b-16 Rule 10b-2 Rule 10b-4 Rule 10b-6 Rule 10b-7 Rule 10b-8 Rule 10b5-1 Rule 11A Rule 13-d Rule 13d Rule 13e Rule 14-d Rule 144 Rule 144A Rule 145 Rule 14a Rule 14e-3b Rule 156 Rule 15c2-1 Rule 15c3-1 Rule 15c3-2 Rule 15c3-3 Rule 17f-1 Rule 19b-3 Rule 19c-3 Rule 209 Rule 2310 Rule 254 Rule 27-11 Rule 390 Rule 396 Rule 3b-3 Rule 405 Rule 415 Rule 419 Rule 434 Rule 5 Rule 500 Rule 72(t) Rule 80A Rule 80B Rule Against Accumulations rule against perpetuities Rule G-32 rule in Shelley's case Rule Line Rule lOb-5			Rule 10b51 Rule 10b6 Rule 10b7 Rule 11A Rule 13-d Rule 13-e Rule 13D Rule 13e Rule 14-a Rule 14-d Rule 144 Rule 144-A Rule 144A Rule 145 Rule 14a Rule 14d Rule 14D-10 Rule 14e-3b Rule 14e3b Rule 156 Rule 15c2-1 Rule 15c21 Rule 15c3-1 Rule 15c3-2 Rule 15c3-3 Rule 15c31 Rule 15c32 Rule 15c33 Rule 17f-1 Rule 17f1 Rule 19b-3 Rule 19b3 Rule 19c-3 Rule 19c3 Rule 209 Rule 2310 Rule 254 Rule 27-11 Rule 390 Rule 396 Rule 3b-3 Rule 3b3 Rule 405 Rule 415 Rule 419 Rule 434 Rule 5 Rule 5 draft Rule 500

Financial Dictionary

Free Tools:	For surfers: Free toolbar & extensions \| Word of the Day \| Help For webmasters: Free content \| Linking \| Lookup box \| Double-click lookup

Disclaimer
All content on this website, including dictionary, thesaurus, literature, geography, and other reference data is for informational purposes only. This information should not be considered complete, up to date, and is not intended to be used in place of a visit, consultation, or advice of a legal, medical, or any other professional.