suitability rules
1suitability rules — Policies 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 . Bloomberg Financial Dictionary …
2Suitable (Suitability) — A situation (and sometimes a legal requirement) that an investment strategy meets the objectives and means of an investor. In most parts of the world financial professionals have a duty to take steps that ensure that an investment is suitable for …
3execution only — The relationship between a firm and client under which the client merely instructs the firm to buy or sell. No advice is provided by the firm and consequently the suitability rules do not apply. Dresdner Kleinwort Wasserstein financial glossary A …
4копеечные акции; акции, имеющие низкую цену — Акции, обычно продающиеся по цене менее 1 долл. за акцию; но их цена может подниматься до 10 долл. за акцию после первоначального публичного предложения (public offering), обычно вследствие интенсивной рекламы. Акции, имеющие низкую цену,… …
5Правило 405 — Формулировка Нью Йоркской фондовой биржей этической концепции, широко признаваемой всеми, кто работает с частными инвесторами. Согласно правилу Знай своего клиента (know your customer) то, что подходит одному клиенту, может быть не приемлемо для… …
6Verification and validation — IV V redirects here. For NASA s IV V Facility, see Independent Verification and Validation Facility. Verification and validation is the process of checking that a product, service, or system meets specifications and that it fulfills its intended… …
7Verification and Validation — Verification Validation is the process of checking that a product, service, or system meets specifications and that it fulfils its intended purpose. These are critical components of a quality management system such as ISO… …
8Ulster Defence Regiment — CGC Regimental badge Active 1970 1992 Country …
9Germany — /jerr meuh nee/, n. a republic in central Europe: after World War II divided into four zones, British, French, U.S., and Soviet, and in 1949 into East Germany and West Germany; East and West Germany were reunited in 1990. 84,068,216; 137,852 sq.… …
10Mediation — For the Wikipedia mediation process for resolving disputes, see Wikipedia:Mediation. For other uses, see Mediation (disambiguation) …
