5340. Control blocks

The minimum Dealer Member inventory margin and client account margin rates for control blocks are 100% unless the position is part of an underwriting commitment that is subject to the requirements of Rule 5500.

5341. - 5349. Reserved.

Guidance/Notices

There is no history log for this rule.

Disciplinary History

There is no history log for this rule.

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5301. Introduction

5310. Determining the basic margin requirement

5311. Canada and United States equity securities eligible for margin

5312. Foreign listed equity securities eligible for margin

5313. Government guaranteed equity securities

5314. Floating rate preferred shares

5315. Other equity securities

5320. Installment receipts

5330. Convertible and exchangeable equities

5350. Canada and United States rights and warrants eligible for margin

5360. Index participation units and qualifying baskets of index securities

5370. Securities held in a Trader’s account