Securities Credit Regulation, 2d (Vol. 22, Securities Law Series)

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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

Summary of contents
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Chapter
1. Overview of Broker Dealer Regulation
2. Certain Definitional Matters: “Creditor,” “Customer,” and “Extension of Credit”
3. Margin Account
4. Cash Account
5. Good Faith Account
6. Credit to Broker Dealers
7. Arranging of Credit; Securities Lending; Security Futures; Portfolio Margining
8. Credit on New Issues of Securities
9. Regulation of Securities Credit Activities
10. Regulation of Borrowers
11. Enforcement and Civil Liability
Table of Cases
Index

Enter replacement volume, chapter and page numbers separated by commas. For example: Volume 2, Chapter 5, Pages 7, 12-19. Please limit requests to 25 pages or less. If you are located outside the United States or for more than 25 pages please contact Customer Service 1-800-328-4880.

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