48-Hour Rule: PSA Unifor Practices requirement that all pool information in a to be announced (T.B.A.) transaction be communicated by the seller to the buyer before 3 p.m. EST on the business day 48 hours . . . View Full Definition
Rule 144: Restricts solicitation of buyers to complete the sell order of an insider (unless the firm is already a buyer); signified by a flashing 'E' on Quotron.
Rule 14-D: Often used in risk arbitrage. Regulations and restrictions covering public tender offers and related disclosure requirements.
Rule 144a: SEC rule allowing qualified institutional buyers to buy and trade unregistered securities.
Rule 13-D: Often used in risk arbitrage. Requirement under Section 13-d of the Securities Act of 1934 that a form must be filed with the SEC within ten business days of acquiring direct or beneficial o . . . View Full Definition
Rule 405: NYSE codification of 'know your customer' rules, which require that a customer's situation is suitable for any investment being made.
Rule Of 72: A formula used to determine the amount of time it will take for invested money to double at a given compound interest rate, which is 72 divided by the interest rate.
Rule 415: Permits corporations to file a registration for securities they intend to issue in the future when market conditions are favorable. See: Shelf registration.
Prudent-Man Rule: A common law standard against which those investing the money of others (fiduciaries) are judged.
Prudent Man Rule: The prudent man rule is the basic standard a fiduciary, who is responsible for other people’s money, must meet. It mandates acting as a thoughtful and careful person would, given a particula . . . View Full Definition