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Margin Accounts and Requirements
Overview
This course focuses on the rules and requirements imposed by FINRA and other agencies on margin accounts.
Find this course for your license
License or Certification
Regulator
Type
Objectives
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
Course Information
Adding additional credit may change exam requirements.