Davis, Henry A. - In: Journal of Investment Compliance 14 (2013) 2, pp. 66-80
‐44, SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements); Regulatory Notice 12‐55, Guidance on FINRA's Suitability … of other issuers. Notice 12‐44: The SEC approved amendments to FINRA Rule 4210 (Margin Requirements) related to option … spread strategies, maintenance margin requirements for non‐margin eligible equity securities, free‐riding, “exempt accounts …