(a) Each carrying or clearing member shall submit to FINRA, or its designated agent, at such times as may be designated, or on an ongoing basis, in such form and within such time period …

Apr 13, 2021 · View frequently asked questions and guidance to aid members in their reporting obligations under FINRA Rule 4521 (d). Note: This guidance only applies to members that …

Pursuant to FINRA Rule 4521, FINRA member firms carrying margin accounts for customers are required to submit the following customer information: the total of all debit balances in …

FINRA Rule 4521(d) governs filing requirements for customer margin accounts and became effective on February 8, 2010. The rule, adopted as part of the new consolidated financial …

Summary On occasion, the securities markets may unexpectedly close for business, for example, on a national day of mourning declared by the president of the United States. This Notice …

Margin Regulation Frequently Asked Questions Regarding Covered Agency Transaction Margin under FINRA Rule 4210 Margin Balance Reporting: Frequently Asked Questions under FINRA …

Oct 29, 2024 · Customer Margin Balance Reporting and Margin Statistics FINRA Rule 4521 requires that member firms that carry customer margin accounts must submit — via the …

Feb 10, 2010 · Executive Summary Beginning March 1, 2010, members subject to new FINRA Rule 4521 (d) 1 must file FINRA's new Customer Margin Balance Form (covering the February …

Jan 8, 2018 · The SEC approved Rule 4521 as part of FINRA's new, consolidated financial responsibility rules in 2009. 7 The rule provides FINRA authority to request information from …

Dec 31, 2024 · On occasion, the securities markets may unexpectedly close for business, for example, on a national day of mourning declared by the president of the United States. This …