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  • Margin Statistics - FINRA. org
    Pursuant to FINRA Rule 4521, FINRA member firms carrying margin accounts for customers are required to submit the following customer information: the total of all debit balances in securities margin accounts; and, the total of all free credit balances in all cash accounts and all securities margin accounts
  • Margin Balance Reporting: Frequently Asked Questions under FINRA Rule . . .
    View frequently asked questions and guidance to aid members in their reporting obligations under FINRA Rule 4521 (d) Note: This guidance only applies to members that need to report data pursuant to Rule 4521 (d)
  • 4521. Notifications, Questionnaires and Reports - FINRA. org
    (a) Each carrying or clearing member shall submit to FINRA, or its designated agent, at such times as may be designated, or on an ongoing basis, in such form and within such time period as may be prescribed, such financial and operational information regarding the member or any of its correspondents as FINRA deems essential for the protection of investors and the public interest (b) Every
  • Frequently Asked Questions | FINRA. org
    Margin Regulation Frequently Asked Questions Regarding Covered Agency Transaction Margin under FINRA Rule 4210 Margin Balance Reporting: Frequently Asked Questions under FINRA Rule 4521 (d) Portfolio Margin FAQ
  • Regulatory Notice 10-08 - FINRA. org
    FINRA Rule 4521(d) governs filing requirements for customer margin accounts and became effective on February 8, 2010 The rule, adopted as part of the new consolidated financial responsibility rules, replaces Incorporated NYSE Rules 421(2) and 421 40 and applies to all FINRA members that carry customer margin accounts 3
  • Margin Regulation - FINRA. org
    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 of all debit balances in securities margin accounts all free credit balances in all cash accounts all securities margin accounts on a settlement date basis as of the last
  • Regulatory Notice 10-08 | FINRA. org
    Executive Summary Beginning March 1, 2010, members subject to new FINRA Rule 4521 (d) 1 must file FINRA's new Customer Margin Balance Form (covering the February 2010 reporting period) 2 FINRA Rule 4521 (d) governs filing requirements for customer margin accounts and became effective on February 8, 2010 The rule, adopted as part of the new consolidated financial responsibility rules
  • FINRA Rules | FINRA. org
    FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist
  • 4000. FINANCIAL AND OPERATIONAL RULES - FINRA. org
    4521 Notifications, Questionnaires and Reports 4522 Periodic Security Counts, Verifications and Comparisons 4523 Assignment of Responsibility for General Ledger Accounts and Identification of Suspense Accounts 4524 Supplemental FOCUS Information 4530 Reporting Requirements 4540 Reporting Requirements for Clearing Firms 4550 ATS Reporting
  • Regulatory Notice 18-02 | FINRA. org
    The SEC approved Rule 4521 as part of FINRA's new, consolidated financial responsibility rules in 2009 7 The rule provides FINRA authority to request information from firms to carry out its surveillance and examination responsibilities





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