Introduction to Margin Requirements - Online

This course covers margin accounts and requirements, and also explains the rules and regulations that govern trading equities and bonds on margin. Topics covered include liquidations, withdrawals, substitutions, and SMA accounts. The course is intended for margin, compliance, and credit control personnel, as well as operations professionals who interface with margin/credit functions.

This course replicates the content from lesson 1 of Margin I: Intro to Margin Regulations - Online

This is an asynchronous eLearning course that can be accessed 24/7 from any internet enabled computer. Subscription period for this course is 90 days.

Available TodayOnlineUSD$60.00
Instructional Method:
Self-Study
Level: Basic
CPE Credits: 1

Students will be able to:
  • Identify what margin is
  • Recognize regulations that govern margin
  • Identify types of security accounts
  • Identify specific securities that are marginable
  • Describe some of the risks and rewards of margin transactions
  • Explain the reasons for using margin
  • Review a typical Margin Agreement
Introduction to Margin Requirements
  • Defining margin
  • Brief history of margin regulations
  • Types of accounts and marginable securities
  • Risks and benefits of using margin
  • The margin agreement