Topic
Margin Requirements
82 published works
Securities Law Prof Blog
SEC & CFTC Staff Schedule Roundtable on Capital and Margin Requirements for Swap Participants
Staff from the CFTC and the SEC will hold a public roundtable on Dec. 10, 2010, to discuss issues related to capital and margin requirements for swap dealers, security-based swap dealers, major swap…
Securities Law Prof Blog
FINRA Increases Margin Requirements for Leveraged ETFs
Effective December 1, 2009, FINRA is implementing increased customer margin requirements for leveraged ETFs and uncovered options overlying leveraged ETFs, in accordance with NASD Rule 2520 and incorporated NYSE Rule…