Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding an October 11, 2022 meeting with Bond Dealers of America and Brean Capital
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an August 15, 2022 meeting with representatives of the Bond Dealers of America
Meeting with SEC Officials Memorandum from the Office of Commissioner Lee regarding a June 7, 2022 meeting with representatives of the Bond Dealers of America
Public Comment Bond Dealers of America
Public Comment CastleOak Securities, L.P.
Public Comment Duncan-Williams, Inc. and SouthState Bank
Public Comment Federal Home Loan Banks
Public Comment Larry W. Bowden, Stephens, Inc.
Public Comment Loop Capital
Public Comment Mortgage Bankers Association
Public Comment Performance Trust Capital Partners, LLC.
Public Comment Siebert Williams Shank & Co., LLC
Public Comment Eric P. Declercq, Weichert Financial Services
Public Comment Jim Weichert, Weichert Financial Services
Public Comment Nancy Crocetto, Weichert Financial Services
Public Comment Mesirow Financial, Inc.
Public Comment Anthony Fattizzi, Weichert Financial Services
Public Comment Michael Cadematori, Weichert Financial Services
Public Comment Timothy Mclaughlin, Chief Investment Officer and EVP Capital Markets, Weichert Financial Services
Meeting with SEC Officials Memorandum from the Office of Commissioner Elad Roisman regarding a January 4, 2022 teleconference with representatives of the Bond Dealers Association (BDA)
Public Comment Alanna Mccargo, President, Government National Mortgage Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 29, 2021 teleconference with representatives of the Bond Dealers Association (BDA)
Public Comment Senator John Boozman, Senator Cynthia M. Lummis, and Senator Thom Tillis
Public Comment Kirk R. Malmberg, President and Chief Executive Officer, Federal Home Loan Bank of Atlanta
Public Comment Adam Arkel, Associate General Counsel and Office of General Counsel, FINRA
Public Comment Chris Killian, Managing Director Securitization, Corporate Credit, Libor, urities Industry and Financial Markets Association
Public Comment Thomas J. Fleming, Adrienne M. Ward, on behalf of the Bond Dealers of America, Inc. and Brean Capital, LLC
Public Comment Adam Arkel, Associate General Counsel, FINRA
Public Comment Chris Melton
Public Comment Chris Killian, Managing Director, Securitization, Corporate Credit, Libor, Securities Industry and Financial Markets Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2021-010
Release Number
34-91937
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