Regulatory Notice 11-15
Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
This Notice provides guidance to firms on low-priced equity securities in customer margin and firm proprietary accounts.
Questions concerning this Notice should be directed to:
- Rudolph Verra, Managing Director, Risk Oversight and Operational Regulation, at (646) 315-8811;
- Glen Garofalo, Director, Credit Regulation, at (646) 315-8464; or
- Steve Yannolo, Project Manager, Credit Regulation, at (646) 315-8621.