Public statements in response to a petition to review a recently approved FINRA rule change are due by May 10, 2022.
News & Insights
3 News Results
FINRA updated interpretations that address (i) the margin rules applicable to control and restricted securities, and (ii) the consolidation of multiple margin accounts for a single customer.
FINRA announced enhanced functionality updates to its Regulatory Extension ("REX") system, which allows firms to electronically submit requests for extensions of time under FINRA Rule 4210.