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).
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SEC Investor Advocate Rick A. Fleming will leave the agency on July 1, 2022.
Public statements in response to a petition to review a recently approved FINRA rule change are due by May 10, 2022.
In a parting statement, Commissioner Elad L. Roisman praised the SEC staff and said it was a privilege to serve as a "temporary steward" of the SEC and its mission.
SIFMA expressed concern regarding a FINRA proposal to amend the application of margin requirements to "when issued" and other extended settlement transactions.