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Rule 415 |
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Rule 415Permits corporations to file a registration for securities they intend to issue in the future when market conditions are favorable. See: Shelf registration.Rule 415 Similar MatchesVariance ruleVariance ruleSpecifies the permitted minimum or maximum quantity of securities that can be delivered to satisfy a TBA trade. For Ginnie Mae, Fannie Mae, and Freddie Mac pass-through securities, the accepted variance is plus or minus 2.499999 % per million of the par value of the TBA quantity. Suitability rulesSuitability rulesPolicies and guidelines that brokers must use to ensure that investors have the financial means to assume risks that they wish to undertake. These are enforced by the NASD and other self-regulatory organizations. Rules-based trade policyRules-based trade policyInstitutional arrangements in which national trade policies are governed by internationally agreed-upon rules, as in the GATT and WTO. Rule 14 dRule 14 dOften used in risk arbitrage. Regulations and restrictions covering public tender offers and related disclosure requirements. Friedman ruleFriedman ruleThe rule for the optimal conduct of monetary policy proposed by Friedman (1969), that it should generate a rate of deflation that makes the nominal interest rate equal to zero. Further SuggestionsUniform Rules for CollectionsOrigin rule Income exclusion rule Rule of Absolute Priority Five percent rule Rule 144 Administrative pricing rules Specificity rule rule of 113 Rule of law listing rules Basic IRR rule Nine bond rule Rule lOb 5 prudent man rule Uptick rule Rule of 72 Rules of origin Securities and Exchange Commission Rules Equal percentage contribution rule (EPCoR) Short sale rule the rule of twenty Ten Day Rule One share one vote rule Quote rule |
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