Responses To Frequently Asked Questions Regarding Covered Agency Transactions Under FINRA Rule 4210

Questions may be directed to:

  • Kris Dailey, Vice President, Risk Oversight & Operational Regulation (ROOR), at (646) 315-8434;
  • Yui Chan, Managing Director, ROOR, at (646) 315-8426;
  • Peter Tennyson, Director, ROOR, at (646) 315-8403;
  • Adam Rodriguez, Director, Credit Regulation, ROOR, at (646) 315-8572;
  • Adam Arkel, Associate General Counsel, Office of General Counsel, at (202) 728-6961.

Questions may also be directed to FINRA via email