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5201. Introduction

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Series 5000: Dealer Member Margin Rules
    Rule

    1. Rule 5200 sets out specific Dealer Member inventory margin and client account margin requirements for:

      1. government debt securities not in default [sections 5210 through 5214],

      2. commercial and corporate debt securities not in default [sections 5220 through 5226], and

      3. debt securities in default [section 5230].

    2. Rule 5200 also describes the circumstances under which the debt margin surcharge applies, and details the calculation thereof [sections 5240 and 5241].

    3. Rule 5200 also sets out specific Dealer Member inventory margin and client account margin requirements for mortgages [section 5250].

    4. The margin requirements for debt securities subject to redemption call or offer are set out in Rule 5400.

    5. The Dealer Member inventory margin requirements for debt security underwriting commitments are set out in Rule 5500.

    5202. - 5209.  Reserved.

    Guidance/Notices

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    History

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    Disciplinary History
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      Jump to another section in Rule 5200
      5210. Government issued or guaranteed bonds, debentures, treasury bills, notes and certain other non-commercial securities not in default
      5211. Government residual debt and stripped coupons not in default
      5212. Government floating rate debt obligations
      5213. Government mortgage-backed securities
      5214. Other non-commercial issuers not qualifying under sections 5210 through 5212
      5220. Commercial and corporate bonds, debentures, notes and other securities not in default
      5221. Convertible commercial and corporate bonds, debentures, notes and other securities not in default
      5222. Bank paper not in default
      5223. Commercial residual debt and stripped coupons not in default
      5224. Convertible commercial residual debt not in default
      5225. Commercial and corporate floating rate debt obligations not in default
      5226. Commercial and corporate income bonds not in default
      5227. Commercial and corporate mortgage-backed securities
      5230. Debt securities in default
      5240. Circumstances under which debt margin surcharge is imposed
      5241. Determining debt margin surcharge
      5250. Mortgages

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