Margin and Margin Accounts

Overview

A margin account is a brokerage account where the broker-dealer lends money to the customer to purchase securities, using the account as collateral. This increases purchasing power but also potential losses. Unlike securities margin, futures margin is like a down payment on a house. This course focuses on securities margin accounts, not futures margin.

Find this course for your license

License or Certification

Regulator

Objectives

Have a solid understanding of the regulation of margin accounts and rates by the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), the Board of Governors of the Federal Reserve (Fed), and other applicable laws and regulations
Understand the function of margin accounts, the risks they present, and the purposes for which they are used
Understand the suitability implications of recommending or permitting a margin account for a particular customer
Be able to determine when and for what needs the product is in the client's best interest

Designed For:

Registered Representatives

Course Information

Adding additional credit may change exam requirements.

At WebCE, we are passionate about delivering exceptional professional development solutions. With world-class customer support and education to serve multiple professions, we're here to help professionals reach their career goals.

Quick Links

Catalog

Business Solutions

Blog

Special Offers

All Products

Information

Privacy

Business Continuity

Accessibility

Sitemap

Terms