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