Guidance

FAQ
Margin Balance Reporting: Frequently Asked Questions under FINRA Rule 4521(d)
April 13, 2021
2019 Exam Findings Report
Supervision
October 16, 2019
FAQ
Responses To Frequently Asked Questions Regarding Covered Agency Transactions Under FINRA Rule 4210
September 18, 2017
Guidance
Regulatory Notice 11-30
June 27, 2011
Guidance
Regulatory Notice 11-16
April 07, 2011
Guidance
Regulatory Notice 10-53
October 26, 2010
Guidance
Regulatory Notice 10-18
April 06, 2010
Guidance
Regulatory Notice 08-65
November 04, 2008
Guidance
Interpretations of FINRA’s Margin Rule
FAQ
Portfolio Margin FAQ