Regulatory Notice 10-53

Margin Requirements for Exempted Securities Mutual Funds and Exempted Securities ETFs

Effective Date: October 26, 2010

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.