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

Prepared with the Assistance of:

PDF

Date

February

2016

Letters

FINRA Rule 4210 to Establish Margin Requirements in the TBA Market

Summary

Date

More Submissions

Type:

Petition for Rulemaking on the Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Rule (Joint Trades)

Type:

Trading and Clearing Derivatives on a 24/7 Basis (SIFMA, SIFMA AMG, and ISDA)

Type:

Proposed Changes to Existing Regulations Re: Tax Policy