Description
Securities Credit Regulations advises broker-dealers, banks, insurance companies, or financial institutions that engage in securities investment activity on how to structure the best deals while staying within the boundaries of compliance. This one-of-a-kind treatise covers the regulation of securities credit, especially how margin regulations affect securities financing. It explains each regulation and gives examples of actual margin transactions to clarify the concepts discussed. Coverage includes: Regulation T, adopted by board of governors of Federal Reserve System: concentrating on broker-dealers Rule 431, of the NYSE: regulating the securities credit activities of member broker-dealers Regulation U, of the Federal Reserve Board: regulating the securities credit activities of banks and other non-broker-dealer lenders Regulation X: special rules applicable to borrowers, including securities credit obtained overseas
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