Customer margin Balance Form
FINRA Rule 4521 requires member firms that carry customer margin accounts to submit—via the Customer Margin Balance Form—the total of all debit balances in securities margin accounts, and all free credit balances in all cash accounts and all securities margin accounts on a settlement date basis as of the last business day of the month.
Note: If a firm has no information to submit, it should note that on the report.
Accessing the Form
Firms’ Regulation Filing Applications Account Administrator can provide access to the Customer Margin Balance Form in the Firm Gateway. See the . Firms can also contact the FINRA Help Desk at (800) 321-6273.
For business-related questions, contact:
• Debra German, Senior Credit Coordinator, Credit Regulation, at (646) 315-8467; or
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