The Margin Lending Agreement is essential when establishing a relationship between a financial institution and a client seeking to borrow against their securities portfolio. This document, governed by U.S. securities laws and regulations, outlines the terms of the credit facility, collateral requirements, and rights of both parties. It includes crucial provisions for margin maintenance, default scenarios, and risk management, while ensuring compliance with Federal Reserve Board regulations, FINRA rules, and applicable state laws. The agreement is particularly important in today's sophisticated financial markets where leveraged investing is common.
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1. Parties: Identification of lender and borrower, including legal status and addresses
2. Background: Context of the agreement and relationship between parties
3. Definitions: Key terms used throughout the agreement including 'Margin', 'Collateral', 'Margin Call', etc.
4. Facility Terms: Core lending terms including amount, purpose, and duration
5. Margin Requirements: Maintenance requirements, initial margin, and margin call procedures
6. Interest and Fees: Interest calculation, payment terms, and applicable fees
7. Collateral Arrangements: Securities pledged, custody arrangements, and voting rights
8. Events of Default: Circumstances constituting default and consequences
9. Representations and Warranties: Standard declarations by both parties
1. Multi-currency Provisions: Additional terms for handling multiple currencies in the facility
2. Guarantor Provisions: Terms relating to third-party guarantors when facility requires additional security
3. Cross-Default Provisions: Terms linking defaults across multiple facilities when borrower has multiple arrangements
1. Schedule of Eligible Securities: List of securities acceptable as collateral and their margin requirements
2. Fee Schedule: Detailed breakdown of all applicable fees
3. Risk Disclosure Statement: Mandatory risk warnings and disclosures
4. Margin Call Procedures: Detailed procedures for margin calls including timing and communication methods
5. Form of Collateral Transfer: Standard documentation for transferring collateral
Relevant legal definitions
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