In previous installments, we covered the basics of the margin regulations. In our final two installments, we’ll cover a few practice points and explore some of the more complex margin issues (particularly under Regulation U),...more
5/6/2014
/ Collateral ,
Corporate Bonds ,
Corporate Sales Transactions ,
Credit Agreements ,
Equity Transactions ,
Financing ,
Margin Calls ,
Mergers ,
Over The Counter Derivatives (OTC) ,
Regulation U ,
Rule 144A ,
Secured Debt ,
Stocks
In the last installment on the US margin regulations, we touched on the building blocks of Regulation U, which prohibits a bank or a non-bank lender (who is not a broker-dealer) from extending “purpose credit” that is...more
Your issuer client is getting ready to launch a high-yield debt offering. When you get to the office and check your messages, you learn that your client has a couple of questions about the representation in the purchase...more
3/6/2014
/ Banking Sector ,
Broker-Dealer ,
CFTC ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Margin Calls ,
NYSE ,
Regulation T ,
Regulation U ,
Regulation X ,
Securities and Exchange Commission (SEC)