FINRA: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as modified by Amendment No. 1, Relating to Security-Based Swaps (Release No. 34-92617; File No. SR-FINRA-2021-008;)
8See Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers, Exchange Act Release No. 86175, (Jun. 21, 2019), 84 FR 43872 (Aug. 22, 2019) (File No. S7–08–12).
They are looking for comments:
The Commission is instituting proceedings to allow for additional analysis and input concerning whether the Proposed Rule Change, as modified by Amendment No.1, is consistent with the Exchange Act and the rules thereunder.
Electronic Comments:Use the Commission’s Internet comment form (http://www.sec.gov/rules/sro.shtml); or Send an e-mail to [email protected]. Please include File No. SR-FINRA-2021- 008 on the subject line.Paper Comments:Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-1090.
All submissions should refer to File No. SR- FINRA-2021-008. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s Internet website (http://www.sec.gov/rules/sro.shtml)
All comments received will be posted without change. Persons submitting comments are cautioned that they do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make available publicly.
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