1. Auflage - April 2008
43,90 Euro
2008. 188 Seiten, Hardcover
ISBN-10: 0-470-17394-7
ISBN-13: 978-0-470-17394-7 - John Wiley & Sons

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Praise for Margin Trading from A to Z

"A comprehensive and indispensable look at margin and margin trading. From the fundamentals of 'Regulation T' to the complexity of 'Shorting Against the Box,'Margin Trading from A to Z is a must-read for anyone working in the investment world or investors ready to take the next step into margin trading."

-Patrick J. Flynn, CPA, Registered Representative, Managing Principal, Flynn, Abell & Associates, LLC

"Known in the industry as 'Margin Mike,' Mike Curley has been the experts' expert on margin accounting and regulation over the past four decades. This book takes the mystery out of margin computations and is a must-read for individual investors and professionals alike who wish to expand their understanding and knowledge of margin accounting and regulation."

-Ben Lubin, President, Securities Industry Management Corp., and former NASD governor and chair of the Capital & Margin Compliance

"Mike's knowledge of margin rules is outstanding. As a recruiter on Wall Street, I use his book as a reference for my candidates who need to brush up on current rules."

-Daniel Collins, founder and CEO, Daniel Collins and Company

Aus dem Inhalt
Preface.

About the Author.

Chapter 1. Cash Accounts.

Sale of Securities.

Paying for Securities by the Sale of Other Securities.

Delivery against Payment.

Employee Stock Options.

Chapter One Questions.

Chapter 2. Initial Federal Margin Requirements.

Purchases.

Sales.

Meeting a Margin Call.

Chapter Two Questions.

Chapter 3. Initial and Minimum Maintenance Requirements.

Initial Requirements.

House Requirements.

NYSE Minimum Maintenance Requirements.

Chapter Three Questions.

Chapter 4. The Special Memorandum Accounts.

Customer's Account.

Chapter Four Questions.

Chapter 5. Short Sales.

Covering Short Sales.

NYSE Minimum Maintenance Requirements.

Sample Transactions.

Short Sale versus the Box or Short against the Box.

Prime Broker.

Chapter Five Questions.

Chapter 6. Bonds.

U.S. Government Securities.

Zero-coupon Government Obligations.

Municipals.

Nonconvertible Corporate Bonds.

Chapter Six Questions.

Chapter 7. Miscellaneous Categories.

When-Issued and When-Distributed Transactions.

Segregation of Customer's Securities.

Review of Customers' Accounts.

Interest charges.

Margin of New Issues.

Day trades.

Chapter Seven Questions.

Chapter 8. Options.

Definition.

Additional Definitions Related to the Type of Options.

Examples.

Requirements for the Purchase and/or Sale of Options.

Long-Term Equity Anticipation Securities.

Other Types of Options.

Additional Details Concerning Options.

Chapter Eight Questions.

Chapter 9. Portfolio Margining.

Margin Deficiencies.

Chapter 9 Questions.

Appendix A. The Federal Reserve.

Appendix B. Customer Margin Account and SMA Sheets.

Appendix C. Answers to Chapter Questions.

Appendix D. Final Examination Questions.

Appendix E. Final Examination Answers.

Glossary of Terms.

Index.