FINRA Rule 4521

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FINRA Requests Comments: Rule 4521 ( Notifications, Questionnaires, and Reports)

Comments are due March 8, 2018, on FINRA proposed amendments to FINRA Rule 4521 (Notifications, Questionnaires and Reports) that would require specified member firms to notify FINRA no more than 48 hours after specified events that may signal an adverse change in liquidity risk. FINRA also seeks comment on a proposed new Supplemental Liquidity Schedule … Continue reading FINRA Requests Comments: Rule 4521 ( Notifications, Questionnaires, and Reports) →

Customer Margin Balance Report Due – Period ending 12/31/2018

FINRA Rule 4521 requires member firms that carry customer margin accounts to submit debit and credit balances and all securities margin accounts. Customer Margin Balance Reporting and Margin Statistics FINRA Rule 4521 requires that member firms that carry customer margin accounts must submit — via the Customer Margin Balance Form — the following numbers: the total … Continue reading Customer Margin Balance Report Due – Period ending 12/31/2018 →

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