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

Product details:

Brand: Clark Boardman Callaghan
Copyright: 2009-2023
ISBN: 9781668756195
Publication Frequency: Updated as changes in the law dictate
Update format: N/A

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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