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Discover the benefits and risks associated with margin that are vital to investors and Broker/Dealers. We examine this topic from both perspectives. This includes how margin supports investor strategies as well may result in risks. We follow how the Margin department oversights and controls exposure to various risks. Become familiar with the various rules and regulations that govern the margin department. Learn key margin terms, the benefits and impact of margin lending, roles and responsibilities of the margin department, risks and exposures, margin calculations and provisions of Regulation T and NYSE Rule 431.
| Topics include: |
• Benefits and impact of margin lending
• Key margin terms
• Margin calculations |
• Provisions of Regulation T
• Risks and exposures
• Role and responsibilities of the margin department |
| Benefits of attendance: |
• Become familiar with the language of margin
• Comprehend the structure of the margin function
• Examine margin lending issues |
• Examine related risks
• Learn margin calculations
• Understand the rules and regulations of margin |
| Staff from the following areas should attend: |
• Compliance
• Information Technology
• Margin |
• Middle Office
• Operations
• Risk Management |
Basics of the Securities Industry or equivalent experience preferred. |
