5301. Introduction

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    1. Rule 5300 sets out specific Dealer Member inventory margin and client account margin requirements for:

      1. equity securities [sections 5310 through 5315],

      2. installment receipts [section 5320],

      3. convertible and exchangeable equities [section 5330],

      4. control blocks [sections 5340],

      5. rights and warrants [section 5350],

      6. index products [section 5360], and

      7. securities held in a Trader’s account [section 5370].

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

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

    4. The margin requirements for when issued trading are set out in Rule 5500.

    5302. - 5309.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.