Red herring

Red herring – A registration statement filed with but not yet approved by the Securities and Exchange Commission

Refinancing

Refinancing – Same as refunding. New securities are sold by a company and the money is used to retire existing securities. The objectmay be to save interest costs, extend the maturity of the loan, or both.

Registered bond

Registered bond – A bond that is registered on the books of the issuing company in the name of the owner. It can be transferred only when endorsed by the registered owner.

Registered bond

Registered bond – A bond that is registered on the books of the issuing company in the name of the owner. It can be transferred only when endorsed by the registered owner.

Registered competitive market maker

Registered representative – The man or woman who serves the investor customersof a broker/dealer. In a NewYork Stock Exchange-member organization, a registered representative must meet the requirements of the exchange as to background and knowledgeof the securities business. Also known as a financial advisor or customer's broker.

Registered representative

Registered representative – The man or woman who serves the investor customersof a broker/dealer. In a NewYork Stock Exchange-member organization, a registered representative must meet the requirements of the exchange as to background and knowledgeof the securities business. Also known as a financial advisor or customer's broker.

Registrar

Registrar – Usually a trust company or bank charged with the responsibility of keeping record of the owners of a corporation's securities and preventing the issuance of more than the authorized amount.

Regular way delivery (RWD)

Regular way delivery – Unless otherwise specified, securities sold on the New York Stock Exchange are to be delivered to the buying broker by the selling broker and payment made to the selling broker by the buyingbroker on the third business day after the transaction. Regular way delivery for bonds is the following business day

Regulation T

Regulation T – The federal regulation governing the amount of credit that may beadvanced by brokers and dealers to customers for the purchase of securities.

Regulation U

Regulation U – The federal regulation governing the amount of credit that may beadvanced by banks to customers for the purchase of listed stocks