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24 lis 2020 · Regulation T is a collection of provisions that govern investors' cash accounts and the amount of credit that brokerage firms and dealers may extend to customers for the purchase of...
In general, under Federal Reserve Board Regulation T (Reg T), brokers can lend a customer up to 50 percent of the total purchase price of a margin equity security for new purchases. Regulation T only sets the initial margin requirements on equity securities but FINRA’s margin rule, 4210, adds initial margin requirements on securities that Reg ...
Firms must file Regulation T and SEC Rule 15c3-3 extension of time requests via FINRA's Regulatory Extension (REX) system (formerly known as the Reg T application). See Regulatory Notice 10-28 for more information. How to Use the REX System.
21 maj 2024 · Regulation T is issued by the Federal Reserve Board, pursuant to the 1934 Securities Exchange Act. The purpose of Reg T is to regulate how brokerage firms and broker dealers extend credit to investors in margin trading transactions.
Securities regulatory lawyers conduct internal investigations for companies or their boards of directors as well as regulatory entities, including individual, class, and derivative actions, and in arbitrations before FINRA, JAMS, AAA, and international arbitration forums.
Regulation T (this part) is issued by the Board of Governors of the Federal Reserve System (the Board) pursuant to the Securities Exchange Act of 1934 (the Act) (15 U.S.C.78a et seq.). Its principal purpose is to regulate extensions of credit by brokers and dealers; it also covers related transactions within the Board's authority under the Act.
Learn about Regulation T (Reg T), the Federal Reserve's rules on brokers' credit to clients for securities purchases, and see an example of its application.
