Topic
Margin Requirements
82 published works
Global Financial Regulatory Blog
FINRA Proposes Amendments to Margin Requirement Rules
The proposed amendments could significantly alter the landscape for extended settlement of securities offerings by expressly limiting the public offering exception for “when-issued” securities to equity IPOs. By: Senet S.…
Corporate & Financial Weekly Digest
FINRA Requests Comment on Proposed Amendments to Margin Rule 4210
By Susan Light, Elise W. Michael
On March 14, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 21-11 (Notice), which seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate…
Corporate & Financial Weekly Digest
FINRA Reminds Member Firms of Obligations for Customer Order Handling, Margin Requirements and Effective Liquidity Management Practices During Extreme Market Conditions
By Susan Light, Elise W. Michael
On March 18, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 21-12 (Notice), which reminds member firms of their obligations during extreme market conditions with respect to handling customer…
Corporate & Financial Weekly Digest
FINRA Postpones Implementation of Mandatory Margin for Covered Agency Transactions
By Susan Light, Timothy D. Kertland
On December 22, 2020, the Financial Industry Regulatory Authority (FINRA) filed a rule change with the Securities and Exchange Commission that further postpones the implementation of mandatory margin for Covered…
Corporate & Financial Weekly Digest
CFTC and SEC Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining
By Kevin M. Foley, Jack A. West
On October 22, the Commodity Futures Trading Commission and the Securities and Exchange Commission, at their first-ever joint open meeting, approved (1) a joint final rule to lower the margin…
Corporate & Financial Weekly Digest
CFTC Approves Amendments to Margin Requirements for SDs and MSPs
By Kevin M. Foley, Timothy D. Kertland
On August 14, the Commodity Futures Trading Commission announced that it has approved two proposals to amend margin requirements for swap dealers (SDs) and major swap participants (MSPs). The first…
Corporate & Financial Weekly Digest
CFTC Proposes Margin Requirements for Uncleared Swaps
At an open meeting on July 22, the Commodity Futures Trading Commission heard presentations on three proposals for changes to the margin requirements for uncleared swaps. The proposed changes, which…
Corporate & Financial Weekly Digest
FINRA Announces Updates to Interpretations of Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts
By Susan Light, Michael T. Foley, Jack A. West
On July 2, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-22 (the Notice) announcing updates to its interpretations regarding (1) FINRA Rule 4210(e)(8), which specifies margin requirements for…
Corporate & Financial Weekly Digest
CFTC Approves Final Rules Regarding Margin Requirements for ESM and Consumer Privacy
By Kevin M. Foley, Jack A. West
On April 14, the Commodity Futures Trading Commission (CFTC) unanimously approved two final rules as follows: The CFTC approved a final rule codifying CFTC No-Action Letter 19-22 concerning the margin…
Global Regulation Tomorrow
SFC releases consultation conclusions on margin requirements for non-centrally cleared OTC derivatives
By Etelka Bogardi (HK), Amy Chung
The Securities and Futures Commission (SFC) has issued its consultation conclusions on the proposed margin requirements for non-centrally cleared OTC derivative transactions set out in its consultation paper issued on…