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SR-FINRA-2021-021

Proposed Rule Change Extending the Expiration Dates of FINRA Rules 0180 and 4240

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to (i) extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to February 6, 2022 and (ii) extend to April 6, 2022 the implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) and clarify that the rule does not apply if a member is registered with the SEC as a security-based swap (“SBS”) dealer (“SBSD”).

Title Format - Size Status
Text of the Proposed Rule Change PDF - 2.06 MB New
Notice of Filing and Immediate Effectiveness PDF - 334.5 KB