Page 3 - Margin Requirements News Today

FINRA shared update on Social Media Influencers, Customer Acquisition and Related Information Protection project. FINRA proposed SEC rule change to delay implementation date for Rule 4210 amendments. SEC published examination priorities for 2023.

FINRA recently filed a proposed rule change with the SEC to yet again delay the implementation date to October 25, 2023, for amendments to Rule 4210 (Margin Requirements) for Covered...

The latest delay for the FINRA Rule 4210 amendments regarding covered agency transactions —originally approved in the summer of 2016—should serve as a cautionary tale regarding the...

<p><span>I am so pleased to sponsor and host the first meeting of the CFTC’s Global Markets Advisory Committee (GMAC).</span></p>

<p><span>The Fall 2022 regulatory agenda (the Agenda) of the Commodity Futures Trading Commission (CFTC or Commission) was recently published as part of the government-wide Unified Agenda of Federal Regulatory and Deregulatory Actions (Unified Agenda).</span><a href="https://www.cftc.gov/PressRoom/SpeechesTestimony/mersingerstatement010923#_ftn1" name="_ftnref1" id="_ftnref1">[1]</a><span>  These semiannual submissions se...

<p>Introduction</p>
<p>Good morning and thank you to ISDA for bringing back this event in-person, and to Scott O’Malia for the warm introduction.  It’s a pleasure to join you here today in Madrid.  This is my second post-pandemic international trip in two weeks, having traveled to the UK to participate alongside many of you during City Week in London.</p>

The SEC issued an order approving FINRA amendments to margin requirements for Covered Agency Transactions.

The CFTC Market Participants Division (the "Division") staff provided temporary capital and financial reporting relief to non-bank swap dealers ("SDs") domiciled in Japan, Mexico, the UK and the EU.

Friday, May 7, 2021 FINRA Seeks Comment on Proposed Amendments to Margin Rule Requirements The Financial Industry Regulatory Authority (FINRA) is requesting comment on proposed amendments to Rule 4210 (Margin Requirements) that seek to clarify current interpretations related to extended settlement transactions. Rule 4210 generally requires firms to collect margin when they extend credit to their customers, and extensions of credit covered by the rule include transactions in which mem...

In a statement issued by the Superintendent released on July 13, 2020, OSFI signalled a gradual restart of OSFIs policy development work in the fall of 2020. On August 31, 2020, OSFI announced in a series of letters issued to industry that it would unwind certain of the temporary measures put in place at the beginning of the pandemic, including a gradual phaseout of the special capital treatment of loan and insurance premium payment deferrals that was provided to banks and insurers. On December...