Speak To A Live Person: 888.302.4594 Request A Demo

SEC Proposes Changes to Margin Requirement for Security Futures

Friday, July 5, 2019

July 3rd – The Securities and Exchange Commission (SEC) announced today that it seeks to align the minimum margin required on security futures with other similar financial products. If the Commodity Futures Trading Commission (CFTC) votes in favor, it would be a joint proposal of the CFTC and SEC. Should the rule be adopted, it would set the minimum margin requirement for security futures at 15 percent of the current market value of each security future.

The CFTC is set to vote on the proposal July 11, 2019. If the CFTC votes to release the proposal, the public comment period will remain open for 30 days following publication in the Federal Register. Click here to download the SEC press release.

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is a leading provider of intelligent compliance software, offering a range of AI-powered solutions designed to help firms of all sizes successfully navigate the increasingly complex regulatory landscape. Our suite of 17(a)-4/WORM compliant features offer risk minimization, cost reduction, and process optimization capabilities with features that are designed to evolve with our client’s needs. Our flagship advertising review software enables firms to deliver compliant content to the market with confidence, faster. Our Disclosure Management and Intelligence solution simplifies the management of disclosures, while our Registration Management solution automates and streamlines the licensing and registration process, further enhancing your internal processes. 

  • Categories

  • Get Started