Rule A Dealer Member may recover the amount of the debt from an indebted client with or without realizing on any of the client’s securities. 5118. - 5119. Reserved. Guidance/Notices 10/14/21 Accounting and margin for repurchase and resale agreements Type: Rules Notice Subtype: Guidance Note 10/14/21 Borrowing for Investment Purposes – Suitability and Supervision Type: Rules Notice Subtype: Guidance Note 10/14/21 Best practices for credit risk management Type: Rules Notice Subtype: Guidance Note 10/14/21 Clearing arrangements Type: Rules Notice Subtype: Guidance Note 10/14/21 Potential early exercise risk when American style options are used in a box spread strategy Type: Rules Notice Subtype: Guidance Note History There is no history log for this rule. Disciplinary History There is no history log for this rule. Jump to another section in Rule 5100 5101. Introduction 5110. Margin requirements — purposes 5111. Margin requirements — general application 5112. Application of margin requirements – Dealer Member inventory positions 5113. Application of margin requirements — client account positions 5114. Client securities that are collateral for a margin debt 5115. Dealer Member’s rights in securities of indebted clients 5116. Dealer Member may buy or sell client securities 5120. Margin requirements – when a rate is not specified 5130. Definitions
10/14/21 Accounting and margin for repurchase and resale agreements Type: Rules Notice Subtype: Guidance Note
10/14/21 Borrowing for Investment Purposes – Suitability and Supervision Type: Rules Notice Subtype: Guidance Note
10/14/21 Potential early exercise risk when American style options are used in a box spread strategy Type: Rules Notice Subtype: Guidance Note