Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Covered Agency Transactions
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Compliance
Legal
Margin Department
Operations
Regulatory Reporting
Risk Management
Senior Management
Key Topics
Covered Agency Transactions
Margin
Referenced Rules & Notices
FINRA Rule 4210
Regulatory Notice 16-31
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to provide relief relating to specified option transactions under FINRA Rule 4210 (Margin Requirements).
Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade
Is there a rule that addresses prohibited conditions relating to expungement of customer dispute information?
Yes, FINRA Rule 2081 provides that no member or associated person shall condition or seek to condition settlement of a dispute with a customer on, or to otherwise compensate the customer for, the customer’s agreement to consent to, or not to oppose, the member’s or associated person’s
The Cybersecurity and Cyber-Enabled Fraud topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
The Consolidated Audit Trail (CAT) topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251
NASDR has filed with the SEC a proposed rule change to amend Rule 2330(f)(2) of the NASD in order to make it consistent with recent amendments by the SEC to Rule 205-3 of the Investment Advisers Act of 1940 ("Rule 205-3").
