Series 99: 2.3.3.4 Margin Reports

Taken from our Series 99 Top-off Online Guide

2.3.3.4  Margin Reports

Unless otherwise permitted by FINRA in writing, members carrying margin accounts for customers must submit, on a settlement date basis, the following information as of the last business day of the month:

  • Total of all debit balances in securities margin accounts
  • Total of all free credit bal

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