SEC regulations requiring accounts holding customer funds to be kept separate from brokerage firm accounts to keep the two clearly distinct in case the brokerage becomes insolvent.
Related information about segregation of securities:
- segregation of securities Definition | Business Dictionaries from ...
Securities and Exchange Commission rules (8c and 15c2-1) designed to protect customers' securities used by broker-dealers to secure broker loans.
- What is segregation of securities? definition and meaning
Definition of segregation of securities: SEC regulations requiring accounts holding customer funds to be kept separate from brokerage firm accounts to keep the ...
- Segregation of Securities: Definition from Answers.com
Securities and Exchange Commission rules (8c and 15c21) designed to protect customers securities used by broker-dealers to secure broker loans.
- Segregation of Securities - Financial Dictionary - The Free Dictionary
Definition of Segregation of Securities in the Financial Dictionary - by Free online English dictionary and encyclopedia. What is Segregation of Securities?
- METHODS & RULES FOR THE SEGREGATION OF SECURITIES
METHODS & RULES FOR THE. SEGREGATION OF. SECURITIES. UNIDROIT COMMITTEE ON EMERGING MARKETS. ISSUES, FOLLOW-UP AND ...
- 2330. Customers' Securities or Funds - FINRA - Rules and ...
(1) Physical segregation of securities by issue, with a separate list showing ownership of the securities by each customer. The listing, on cards or other records, ...
- guideline on segregation of securities business ... - Finanssivalvonta
Jun 16, 1998 ... Concerns securities intermediaries. GUIDELINE ON SEGREGATION OF SECURITIES. BUSINESS FUNCTIONS. By virtue of section 4, point 2, ...
- Amendments to Form 1 - IIROC
REPORT ON COMPLIANCE FOR INSURANCE, SEGREGATION OF SECURITIES, AND GUARANTEE/GUARANTOR. RELATIONSHIP RELIED UPON TO ...