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5214. Other non-commercial issuers not qualifying under sections 5210 through 5212

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Series 5000: Dealer Member Margin Rules
    Rule

    1. The minimum Dealer Member inventory margin and client account margin requirements for securities of all other non-commercial issuers not qualifying under sections 5210 through 5212 are as follows:

      Term to maturity or redemption

      Minimum margin required as a percentage of market value

      Category (i)

      All other non-commercial issuers’ bonds and debentures not qualifying under sections 5210 through 5212

      Category (ii)

      All other non-commercial issuers’ residual debt and stripped coupons not qualifying under sections 5210 through 5212

      Less than 1 year

      10.00%

      15.00%

      Greater than or equal to 1 year and less than 3 years

      Greater than or equal to 3 years and less than 7 years

      Greater than or equal to 7 years and less than 11 years

      Greater than or equal to 11 years and less than 20 years

      Greater than or equal to 20 years

      		 30.00%

    2. If a security in subsection 5214(1) is redeemable and the security is called for redemption, the term to maturity is the term to the redemption date.

    3. In subsection 5214(1), the maturity date of a coupon or other evidence of interest is the interest payment date.

    5215. - 5219.  Reserved.

    Guidance/Notices
    History

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    Disciplinary History
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      Jump to another section in Rule 5200
      5201. Introduction
      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
      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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