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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to extend to September 1, 2021 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps that are security-based swaps.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend to September 1, 2021 the implementation of FINRA Rule 4240. FINRA Rule 4240 implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps that are security-based swaps.
Update - FINRA Forms Issue (FINRA Order Form, FINRA New Issue Form, FINRA Participant Agreement Form)
FINRA has resolved the issue affecting the forms filings.
Firms should contact FINRA Market Operations or call 866.776.0800 with questions regarding this issue.
