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FRB: Press Release Summary -- List of OTC stocks subject to margin r... 1 of 2 https://www.federalreserve.gov/boarddocs/press/general/1997/1997072... List of Marginable OTC Stocks1 and List of Foreign Margin Stocks2 as of AUGUST 11, 1997 The List of Marginable OTC Stocks and the List of Foreign Margin Stocks are published quarterly by the Board of Governors of the Federal Reserve System (the Board). The List of Marginable OTC Stocks is composed of stocks traded in the United States over-the-counter (OTC) that have been determined by the Board to be subject to margin requirements as of August 11, 1997, pursuant to Section 207.6 of Federal Reserve Regulation G, "Securities Credit by Persons Other Than Banks, Brokers, or Dealers," Section 220.17 of Regulation T, "Credit by Brokers and Dealers," and Section 221.7 of Regulation U, "Credit by Banks for the Purpose of Purchasing or Carrying Margin Stocks." It also includes all OTC stocks designated as National Market System (NMS) securities. Additional NMS securities may be added in the interim between Board quarterly publications; these securities are immediately marginable upon designation as NMS securities. The names of these securities are available at the National Association of Securities Dealers, Inc. and at the Securities and Exchange Commission. This list supersedes the previous List of Marginable OTC Stocks published effective May 12, 1997. The List of Foreign Margin Stocks is composed of foreign equity securities that have met the Board's eligibility criteria, pursuant to Regulation T, Section 220.17. These foreign equity securities are eligible for margin treatment at broker-dealers on the same basis as domestic margin securities. This list supersedes the previous List of Foreign Margin Stocks published effective May 12, 1997. CAUTION: It is unlawful for any person to cause any representation to be made that inclusion of a security on the List of Marginable OTC Stocks or the List of Foreign Margin Stocks indicates that the Board or the Securities and Exchange Commission has in any way approved such security or transaction therein. Also, any reference to the Board in connection with these Lists or any securities thereon in an advertisement or similar communication is unlawful. Any inquiry relating to these Lists or to Regulations G, T, U, or X should be addressed to the nearest Federal Reserve Bank. 1 2 Prepared for purposes of Regulations G, T, U, and X. Prepared for purposes of Regulation T only. Marginable OTC and Foreign Margin Stocks (189 KB PDF) 7/29/2024, 2:29 PM FRB: Press Release Summary -- List of OTC stocks subject to margin r... 2 of 2 https://www.federalreserve.gov/boarddocs/press/general/1997/1997072... Marginable OTC and Foreign Margin Stocks (359 KB ASCII) Marginable OTC Stocks only (133 KB PDF) Foreign Margin Stocks only (58 KB PDF) 1997 Banking and consumer regulatory policy Home | News and events Accessibility Last update: July 28, 1997 12:00 PM 7/29/2024, 2:29 PM