FINRA Rule 4210 Margin Requirements

Summary

SIFMA’s Asset Management Group (SIFMA AMG) provides supplemental comments to the Securities and Exchange Commission (SEC) on on SR-FINRA-2015-036, a proposal by Financial Industry Regulatory Authority (FINRA) to amend FINRA Rule 4210 to establish margin requirements for Covered Agency Transactions and responds to FINRA’s Partial Amendment No. 1
and Responses to Comments.

Letters

FINRA Rule 4210 Margin Requirements

Summary

Related Committee(s)

Date

Letters

FINRA Rule 4210 Margin Requirements

Summary

Related Committee(s)

Date

More Submissions

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)

Type:

Notice of Proposed Rulemaking on AML/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements (SIFMA and SIFMA AMG)