News & Analysis as of

Financial Industry Regulatory Authority (FINRA) Covered Transactions

Katten Muchin Rosenman LLP

Yet More Delays to FINRA's Proposed Rule Amendments to Rule 4210 Margin for Covered Agency Transactions

FINRA recently filed a proposed rule change with the SEC to yet again delay the implementation date to October 25, 2023, for amendments to Rule 4210 (Margin Requirements) for Covered Agency Transactions....more

Burr & Forman

FINRA and UTMA/UTGA Accounts: Know Your Customer, and Continue to Monitor

Burr & Forman on

Firms permitting the creation and operation of custodial accounts related to Uniform Transfers to Minors Act (UTMA) or Uniform Gifts to Minors Act (UGMA) transactions must take special notice of Financial Industry Regulatory...more

Eversheds Sutherland (US) LLP

FINRA once again delays implementation of amendments to FINRA rule 4210

The Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposed rule change with the Securities and Exchange Commission (SEC) on October 25, 2019, to once more delay the implementation of amendments to FINRA Rule...more

Holland & Knight LLP

China Practice Newsletter: January-February 2019

Holland & Knight LLP on

Holland & Knight invites you to read our China Practice Newsletter, in which our authors discuss pertinent Sino-American topics. The firm provides legal assistance to Chinese investors and companies doing business or making...more

Kramer Levin Naftalis & Frankel LLP

Funds Talk: June 2017 - FINRA Expands Margin Rules for Mortgage-Backed Securities Transactions

FINRA has introduced an expansion of Rule 4210 (the Rule), effective Dec. 15, 2017, importing margin concepts into the world of mortgage-backed transactions. ...more

A&O Shearman

SEC Expands to Retail Customer Debt Transactions Disclosure of Broker-Dealer Mark-Ups and Mark-Downs

A&O Shearman on

Currently, U.S. broker-dealers are not required to disclose their compensation in respect of fixed-income transactions effected as principal. In November 2016, the SEC approved a rule proposal of the U.S. Financial Industry...more

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