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Keywords: FINRA Rule 4210
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (4): 31–35.
Published: 06 November 2017
...Nikiforos Mathews; Jonas Robison Purpose To summarize for registered broker-dealers and their customers upcoming margin requirements for “to-be-announced” (TBA) transactions on mortgage-backed securities pursuant to recently-amended FINRA Rule 4210. Design/methodology/approach This article...
