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Federal Reserve Regulation T

Allen Matkins

Looking For The List Of OTC Margin Stocks? You’ll Find It In California’s New LLC Act

Allen Matkins on

When originally enacted, the Securities Exchange Act of 1934 banned brokers and dealers from extending margin credit on over-the-counter (OTC) securities. This changed in 1969 when the Exchange Act was amended. The Federal...more

Latham & Watkins LLP

Margin Call: The Basics of the US Margin Regulations

Latham & Watkins LLP on

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

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