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FINRA Rule 4210

Outlines the margin requirements for broker-dealers and their customers, including the initial and maintenance margin requirements for various types of securities and transactions.

Rule Overview

Jurisdiction: United States

Regulator: FINRA

Topic: Margin Requirements

Overview
Latest News
Further Reading

The rule seeks to ensure that broker-dealers and their customers maintain sufficient margin to cover potential losses in their accounts, and it applies to a wide range of securities and transactions, including stocks, bonds, options, and security futures.

The rule sets forth specific margin requirements for different types of securities and transactions, and it also provides for exceptions and exemptions in certain circumstances.

Additionally, the rule requires broker-dealers to monitor and manage the risk of their customers’ accounts, and to take steps to prevent excessive leverage and potential losses.

Latest News More on FINRA Rule 4210 

Further Reading

FINRA Interpretation of Rule 4210 Go to https://www.finra.org/rules-guidance/guidance/interps-4210/version-102721 FINRA Updated Interpretation of Rule 4210 Go to https://www.finra.org/sites/default/files/2024-08/4210-interp-change-guide-2024.pdf FINRA Rule 4210 FAQs Go to https://www.finra.org/rules-guidance/key-topics/margin-accounts/4210faq