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FINRA Notifies Firms of 2023 Holiday Margin Extension Filing Deadlines

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).

FINRA urged firms to ensure that accurate dates on reports are submitted as its automated processing system may reject requests that contain incorrect filing dates. The calendar does not include Columbus Day or Veterans Day as they are considered business days under the applicable rules.

Primary Sources

  1. FINRA Information Notice November 18, 2022: 2023 Holiday Margin Extensions Schedule

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Tags

Regulated Activities
Custody Margining Regulatory Reporting Sec Loan / Repo / TBA Trading
Sub-Activity
Short Sales and Positions
Regulated Entities
Broker-Dealers
Regulated Products
Securities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA