Course Outline

Regulation T: Credit by Brokers and Dealers

Seat Time: 0.25hrs 

This course will introduce the learner to Regulation T, which implements the Securities Exchange Act. The course will introduce the learner to the purpose of Regulation T as well to restrictions on extending credit. After completing this program, the learner will understand:

• When Regulation T applies.
• What margin securities are included.
• Limitations on securing funds under Regulation T.

Course Topics

T1. Regulation T: This topic will familiarize the learner with Regulation T, which implements the Securities Exchange Act by governing credit extensions by securities brokers and dealers, and will discuss extending credit, define margin securities, and describe cash transactions.