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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License or Certification
Regulator
Type