Interpretations of FINRA's Margin Rule

FINRA Rule 4210 (Margin Requirements) describes the margin requirements that determine the amount of collateral customers are expected to maintain in their margin accounts, including both strategy-based margin accounts and portfolio margin accounts.  The rule explains the margin requirements for equity and fixed income securities, along with options, warrants and security futures.

 

Below is the text and interpretations of FINRA Rule 4210. The interpretations immediately follow the section of the rule to which they relate.  The interpretations use a numbering convention of /##. For example:  /01 of Rule 4210(a)(3). 

 

Questions concerning these interpretations may be directed to FINRA's Credit Regulation Department by email or (646) 315-8464 or (646) 315-8621.


FINRA Rule 4210 (Margin Requirements) Interpretations (PDF 627 KB)