FINRA Rule 4210 to Establish Margin Requirements in the TBA Market

Summary

SIFMA provides comments to the Securities and Exchange Commission (SEC) in response to SR-FINRA-2015-036, a proposal by FINRA to amend FINRA Rule 4210 to establish margin requirements for transactions in the “to-be-announced” (TBA) market.

See Also:

SEC: Release No. 34-76908; File No. SR-FINRA-2015-036 (PDF)
SIFMA Submits Comments to the SEC on FINRA Rule 4210 regarding Margin Requirements for TBAs/Agency MBS, November 10, 2015
SIFMA AMG Submits Comments to the SEC on FINRA Rule 4210 regarding Margin Requirements for TBAs/Agency MBS, November 10, 2015

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FINRA Rule 4210 to Establish Margin Requirements in the TBA Market

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Letters

FINRA Rule 4210 to Establish Margin Requirements in the TBA Market

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Type:

Access to Americans’ Bulk Sensitive Personal Data and Government-Related Data by Countries of Concern

Type:

Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities (Joint Trades)

Type:

Proposed Rule Change to Modify the GSD Rules (I) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) To Address the Conditions of Note H to Rule 15c3-3a (Joint Trades)