SR-FINRA-2021-010
Proposed Rule Change to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as approved by the SEC pursuant to SR-FINRA-2015-036. The proposed rule change would amend, under FINRA Rule 4210, paragraphs (e)(2)(H), (e)(2)(I), (f)(6), and Supplementary Material .02 through .05, each as amended or established pursuant to SR-FINRA-2015-036.
| Title | Format - Size | Status |
|---|---|---|
| Text of the Proposed Rule Change | PDF - 559.01 KB | |
| Federal Register Notice | PDF - 641.86 KB | |
| Extension No. 1 | PDF - 255.52 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 463.59 KB | |
| Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove | PDF - 202.59 KB | |
| Response to Comments | PDF - 108.82 KB | |
| Extension No. 2 | PDF - 2.02 MB | |
| Approval Order | PDF - 949.58 KB | |
| Notice of Intent to Petition and Stay | PDF - 171.36 KB | New |
| Order Granting Petition for Review | PDF - 106.43 KB | New |
| Statement in Support of Proposed Rule Change | PDF - 674.19 KB | New |
| Approval Order No. 2 | PDF - 276.98 KB |