Regulatory Notice 19-05
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
In June 2016, the SEC approved FINRA’s rule change (referred to as the “rule change”) amending FINRA Rule 4210 to establish margin requirements for Covered Agency Transactions. FINRA is extending, to March 25, 2020, the effective date of the requirements pursuant to the rule change that otherwise would have become effective on March 25, 2019.
Questions regarding this Notice should be directed to: