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

• Frequently Asked Questions & Guidance: Covered Agency Transactions Under FINRA Rule 4210
  To assist firms in complying with the requirements with respect to Covered Agency Transactions under FINRA Rule 4210, FINRA is making available, and will periodically update, a set of frequently asked questions and guidance. 
• Frequently Asked Questions Regarding SEA Rule 15c3-1 and Rule 15c3-3 in Connection With Covered Agency Transactions Under FINRA Rule 4210
  To assist firms in complying with SEA Rule 15c3-1 and Rule 15c3-3 in connection with Covered Agency Transactions under FINRA Rule 4210, FINRA is making available, and will periodically update, a set of frequently asked questions provided by the staff of the SEC's Division of Trading and Markets.

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.