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FINRA Seeks Comment on Proposed Amendments to Margin Rule and Diversity Initiatives


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 member firms permit customers to make partial or delayed payment on securities purchases (or partial or delayed delivery of securities sold). FINRA examinations have revealed some uncertainty in firms’ understanding about what constitutes delayed payment or delivery for purposes of the margin rules. Therefore, FINRA has proposed to refine the definition of “extended settlement transaction” to resolve any uncertainty related to these rules. ....

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