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SEC Extends FINRA Rule 4210 Comment Period to October 5, 2021

9/17/21 2:38 PM

The Securities and Exchange Commission (SEC) has extended the comment period for FINRA Rule 4210 to October 5, 2021. To read the full notice of the SEC's comment period extension in the Federal Register, click here

FINRA Rule 4210 Highlights

Matrix has created a 4210 Highlights white paper. Please contact us for a copy.

FINRA Rule 4210 is coming!
Will you prepared to comply with the Rule?

Broker / Dealers must measure and manage exposure on forward settling transactions as mandated by FINRA Rule 4210. The rules, exceptions and exemptions are complex. Factors involving securities, counterparties, valuation and limits require layers of decision analysis. 

Matrix Applications has a solution for you: MarginCalculator.

About MarginCalculator 


MarginCalculator is a simple web-based solution to the complex problem of margining forward-settling trades, particularly TBAs, specified pools, ARMs and CMOs. It’s a utility that helps you calculate your exposure due to market value fluctuations of unsettled positions, as well as margin collateral and cash posted to mitigate such exposures. With it, you’ll be able to compute your margin, control your risk, and comply with Rule 4210 at the right price.

MarginCalculator Benefits

  • Easily track your outstanding TBA trades by counterparty.
  • Matrix has partnered with ICE Data Services to provide independent 3 PM prices, so you can easily mark-to-market, compare trades confirm exposure with your dealer.
  • Independently validate or contest margin calls.
  • Clearly see any over-margined postings and call back your capital.
  • Consolidated exposures help optimize credit lines and counterparties for the next trade.
  • …and so much more!

Learn More

Want to learn more about the tool that lets you compute, control and comply?

Schedule a demo with Matrix Applications on our website or contact us at .

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