Margin Accounts and Requirements

Overview

This course focuses on the rules and requirements imposed by FINRA and other agencies on margin accounts. 

Learning Objectives

Upon completion of this course, you should be able to:

  • Describe a margin account
  • Explain the key provisions of Regulation T
  • Describe the key provisions of FINRA regulations concerning margin accounts, including:Rule 4210 (Margin Requirements),Rule 4521 (Customer Margin Balance Reporting and Margin Statistics), Rule 4220 (Daily Record of Required Margin), Rule 4230 (Extensions of Time Under Regulation T and SEA Rule 15c3-3), Rule 4240 (Margin Requirements for Credit Default Swaps)
  • Explain the general requirements for leveraging within a margin account

Designed For

Registered representatives and investment advisers 
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