segregation

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Segregation

The practice of broker-dealers keeping 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 requires segregation of these securities.

segregation

The safekeeping of a customer's securities in a separate location when the securities have been paid for in full. Segregated securities may not be commingled with the securities of the broker-dealer and they may not be used by the broker-dealer to collateralize loans. See also Rule 15c3-3.
References in periodicals archive ?
Some companies discussed compensating controls that may partially mitigate the segregation of duties problem.
Several entities and commentators offer guidance and suggestions for addressing segregation of duties challenges, especially for small companies.
One obvious solution to segregation of duties weaknesses is to add more people to the organization.
As this story was going to press, on November 2, Acoli remained in segregation.
After her release from segregation, Buck said in a letter, "I had never been held incommunicado.
She says two of her clients were held in segregation.
We also observed that although most dyads underwent segregation at anaphase I, others remained isolated from the two segregating groups [ILLUSTRATION FOR FIGURE 1D OMITTED].
The frequencies of the various segregation patterns were determined at telophase II by the number of maternal chromosome groups present (incomplete united bipolar segregation was identified by the presence of two groups of maternal chromosomes and some isolated chromosomes) (Table I).