FINRA settled charges with four firms for misrepresentations and supervision failures on their "fully paid securities lending" programs.
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A broker-dealer settled FINRA charges for overstating its net capital, which caused several additional reporting and recordkeeping violations.
FINRA notified broker-dealers of the due dates on filing requests for extensions of time to satisfy margin deficiencies prior to and after the 2023 holidays (when the exchanges or banks are closed).
Public statements in response to a petition to review a recently approved FINRA rule change are due by May 10, 2022.
FINRA proposed to delay the implementation of amendments imposing margin requirements on "Covered Agency Transactions" until April 26, 2022.