Regulatory Notice 10-53

Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs

Effective Date: October 26, 2010

Executive Summary

Effective October 26, 2010, FINRA is advising firms of customer margin requirements for exempted securities mutual funds and exempted securities exchange traded funds (ETFs) in Regulation T margin accounts. FINRA is also reminding firms of customer margin requirements for money market mutual funds.


Questions concerning this Notice should be directed to:

  • Rudolph R. Verra, Managing Director, Risk Oversight and Operational Regulation, at (646) 315-8811;
  • Glen Garofalo, Director, Credit Regulation, at (646) 315-8464; or
  • Steve Yannolo, Principal Credit Specialist, Credit Regulation, at (646) 315-8621.