Rule 15c3-3

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.
References in periodicals archive ?
and Rule 15C3-3 and (ii) $507 million in assets posted by LBI as margin
LBI's reserve calculation for purposes of Rule 15C3-3.
These regulations -- SEC Rule 15c3-3 and CFTC Rules 1.
SEC Rule 15c3-3 generally provides that registered broker/dealers are required to establish physical possession or control of all fully-paid securities and excess margin securities carried by the broker/dealer for the account of customers.
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.
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.