A.
Equity securities registered or having delisted trading privileges on a national securities exchange:
B.
Over-the-counter (OTC) securities that do not qualify for trading in the National Market System
C.
Warrants or rights to subscribe to or purchase a common stock
D.
Securities issued by an investment company registered under the Investment Company Act, except for: A company licensed under the Small Business Investment Company Act A company that has at least 95 percent of its assets continuously invested in exempted securities; or A company that issues face-amount certificates; or A company that is considered a money market fund under the SEC Rules
D. Securities issued by an investment company registered under the Investment Company Act, except for:
A company licensed under the Small Business Investment Company Act
A company that has at least 95 percent of its assets continuously invested in exempted securities;
A company that issues face-amount certificates; or
A company that is considered a money market fund under the SEC Rules
This option accurately describes the types of securities that are considered margin stock, with specific exceptions for certain types of investment companies registered under the Investment Company Act. These exceptions help clarify the scope of what constitutes margin stock in the context of Regulation U and related financial regulations.
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Cam22
4 months ago