SR-FINRA-2021-008
Proposed Rule Change Relating to Security-Based Swaps
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of its rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“MSBSPs”) (collectively, “SBS Entities”).
| Title | Format - Size | Status |
|---|---|---|
| Text of the Proposed Rule Change | PDF - 1.41 MB | |
| Federal Register Notice | PDF - 1.56 MB | |
| Extension No. 1 | PDF - 471.82 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 410.75 KB | |
| Response to Comments | PDF - 653.46 KB | |
| Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove | PDF - 210.55 KB | |
| Extension No. 2 | PDF - 1.99 MB | |
| Approval Order | PDF - 1.74 MB |