Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 50
B: 4

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Date Received
Date Letter Type Commenter Name
Public Comment Thomas J. Fleming and Adrienne M. Ward on behalf of Bond Dealers Association and Brean Capital, Olshan Frome Wolosky
Public Comment Chris Killian, Managing Director, SIFMA
Public Comment Thomas J. Fleming, Olshan Frome Wolosky LLP, on behalf of Brean Capital LLC
Public Comment Thomas J. Fleming, Olshan Frome Wolosky LLP, on behalf of Brean Capital LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a June 14, 2016, telephonic meeting with representatives of Brean Capital, LLC
Public Comment Robert W. Errett, Deputy Secretary, Securities and Exchange Commission
Public Comment Mike Nicholas, Chief Executive Officer, Bond Dealers of America
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 16, 2016, telephonic meeting with representatives of Brean Capital, LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a May 12, 2016, meeting with representatives of the Bond Dealers of America
Public Comment Chris Melton, Executive Vice President, Coastal Securities, Houston, Texas
Public Comment Christopher B. Killian, Managing Director, Securitization, SIFMA
Public Comment David H. Stevens, President and Chief Executive Officer, Mortgage Bankers Association
Public Comment James M. Cain, Sutherland Asbill & Brennan LLP on behalf of the Banks of the Farm Credit System
Public Comment James M. Cain, Sutherland Asbill & Brennan LLP on behalf of the Federal Home Loan Banks
Public Comment Manisha Kimmel, Chief Regulatory Officer, Wealth Management, Thomson Reuters
Public Comment Michael Nicholas, CEO, Bond Dealers of America, Washington, District of Columbia
Public Comment Robert Fine, Chief Executive Officer, Brean Capital, LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 15, 2016, meeting with representatives of Nomura
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 12, 2016, meeting with representatives of the Federal Home Loan Bank of Atlanta and CoBank
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 21, 2016, meeting with representatives of Brean Capital, LLC
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a March 10, 2016, meeting with representatives of FINRA
Public Comment Lauren Eardensohn Sarper, Director, Policy Development, External Affairs, Prudential Financial, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 29, 2016, meeting with representatives of Prudential
Public Comment Robert Tirschwell
Public Comment Allen Riggs, Chief Financial Officer, Vining Sparks IBG, LP
Public Comment Blake Lanford, Managing Director, Walker & Dunlop, LLC
Public Comment Bruce Sandweiss, Executive Vice President, Gershman Mortgage
Public Comment Carl B. Wilkerson, Vice President & Chief Counsel, Securities & Litigation, American Council of Life Insurers
Public Comment David H. Stevens, CMB, President and CEO, Mortgage Bankers Association
Public Comment James M. Cain, Sutherland Asbill & Brennan LLP, on behalf of Federal Home Loan Banks

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2015-036
Release Number
34-76148
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