The margin requirements for Credit Default Swaps are summarized in The Guide to Broker-Dealer Regulation, Margin Chapter . This proposal would extend the current regime under FINRA Rule 4240 (although that is of limited significance as firms do not ordinarily book CDS into registered broker-dealers and this will all eventually be redone when the SEC's rules implementing Dodd-Frank come into effect. *Please note this release relates back to an earlier post, found here. View notice in full here(links externally to Federal Register website).

FINRA and the other members of the Intermarket Surveillance Group have extended the effective dates for firms to submit new data elements for Electronic Blue Sheets to correspond with the recent extension by the SEC of the implementation of SEC Large Trader Reporting Rule (SEA Rule 13h-1). Electronic Blue Sheets are discussed in the Broker-Dealer Guide, Recordkeeping Chapter. Effective Dates: November 30, 2012, and May 1, 2013 View release in full here(links externally to FINRA website).

The SEC published interpretive guidance with respect to sections 3(a)(41) (the definition of "mortgage related security") and 3(a)(53)(A) (the definition of "small business related security") of the Exchange Act, in light of section 939(e) of the Dodd-Frank Act. This guidance is described in our news of July 17. View release in full here (links externally to Federal Register website)

View release in full here (links externally to SEC website).

View release in full here (links externally to SEC website).