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FINRA Postpones Implementation of Mandatory Margin for Covered Agency Transactions

January 15, 2021

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 Agency Transactions under FINRA Rule 4210 until October 26.

More Posts

SEC Issues No-Action Letter Regarding Institutional Family Offices

January 15, 2021

CFTC and Italy’s CONSOB Sign MOU for Supervision of Cross-Border Firms

December 4, 2020

CFTC Extends Timing Requirements for Certain SEF Year-End Reports

December 4, 2020

CFTC to Hold an Open Commission Meeting on December 8

December 4, 2020

FINRA Conducts Review of Waiver and Rebate Systems and Procedures with Respect to Mutual Fund ROR Purchases

November 13, 2020

CFTC to Hold Open Commission Meeting on October 6

October 2, 2020

CFTC Extends No-Action Relief for Certain Reporting Obligations under the OCR Final Rule

October 2, 2020

FINRA Files Proposed Rule Change to Delete the Order Audit Trail System (OATS) Rules

September 11, 2020

CFTC Approves Amendments to Margin Requirements for SDs and MSPs

August 21, 2020

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Connect: http://katten.com/timothy-kertland
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Blogs
  • Corporate & Financial Weekly Digest
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  • Katten Muchin Rosenman

Timothy D. Kertland

Connect: http://katten.com/timothy-kertland
Subscribe: Subscribe via RSS
Blogs
  • Corporate & Financial Weekly Digest
Firm/Org
  • Katten Muchin Rosenman
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