Comment Deadline Set for FINRA Proposal to Delay Implementation of TBA/CAT Margin Rules
Comments on a FINRA proposal to further delay the implementation of margin requirements for covered agency transactions ("CATs") are due by September 6, 2022. The Notice was published in the Federal Register.
As previously covered, the proposal relates to the implementation of amendments to FINRA Rule 4210 ("Margin Requirements") to impose requirements on CATs, including "To Be Announced" ("TBA") trading. Amendments to rules adopted in FINRA rulemaking SR-FINRA-2015-036 were initially approved in June 2016, but have yet to be implemented.
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- FINRA Rule 4210: Margin Requirements
- SR-FINRA-2015-036: Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market
- FINRA Notice 16-31: SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
- SEA Rule 15c3-1: Net capital requirements for brokers or dealers.
- 86 FR 67557 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
- 86 FR 47665 - SROs; Financial Industry Regulatory Authority, Inc., Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Ame ...
- 86 FR 28161 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a 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
- 87 FR 50130 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
- DELAYED -- FINRA Effective Date: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 (2023-04-23)
- SR-FINRA-2022-023: Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
- FINRA Comment Deadline: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 (2022-09-06)
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