Customer Margin Balance Reporting

FINRA Rule 4521 requires member firms that carry customer margin accounts to submit—via the Customer Margin Balance Form—the total of all debit balances in securities margin accounts, and all free credit balances in all cash accounts and all securities margin accounts on a settlement date basis as of the last business day of the month.

Note: If a firm has no information to submit, it should note that on the report.

Accessing the Form

Firms that are required to file information pursuant to FINRA Rule 4521(d) must do so through the FINRA Firm Gateway, where the new Customer Margin Balance Form will be available beginning March 1, 2010.

Firms' Regulation Filing Applications Account Administrator can provide access to the Customer Margin Balance Form in the Firm Gateway. See the Instructions for Requesting Entitlement to the Customer Margin Balance Form. Firms can also contact the FINRA Help Desk at (800) 321-6273.

2016 Filing Due Dates

Period Ending Due Date
January 29, 2016 February 8, 2016
February 29, 2016 March 8, 2016
March 31, 2016 April 8, 2016
April 29, 2016 May 9, 2016
May 31, 2016 June 8, 2016
June 30, 2016 July 11, 2016
July 29, 2016 August 8, 2016
August 31, 2016 September 9, 2016
September 30, 2016 October 10, 2016
October 31, 2016 November 8, 2016
November 30, 2016 December 8, 2016
December 30, 2016 January 10, 2017

Questions

For business-related questions, contact Theresa Reynolds, Credit Regulation Coordinator, Credit Regulation, at (646) 315-8567.