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Cards Wire 3 segments
0:15
FINR FINRA Source document ↗
United States FINRA Markets & Infrastructure ✓ 15 claims 28 Oct 2026

FINRA clarifies options rules now cover binary options, effective immediately

FINRA's October 28 digest confirms a rule change that already took effect this week: binary options now fall squarely under existing options oversight. Compliance and legal teams at member firms offering or clearing these products should understand which rules now apply and the margin computation changes before examiners ask about them.

  • Regulatory Notice 26-21, published Oct. 26, 2026, applies Rules 2220, 2360 and 4210 to binary options.
  • The notice covers binary options whose payout is based on an issuer's reported financial or operating metrics.
  • It also covers binary options cleared by a registered clearing agency other than The Options Clearing Corporation.
  • FINRA updated its Rule 4210 interpretations to clarify the required margin computations for binary options.
  • The rule changes took effect Oct. 22, 2026, four days before the explanatory notice was published.
Source document
0:15
FINR FINRA Source document ↗
United States FINRA Markets & Infrastructure ✓ 16 claims 27 Oct 2026

FINRA interpretation lets portfolio-margin firms margin hedging swaps with dealers on a PM basis

FINRA has added an interpretation to Rule 4240, its margin regime for security-based swaps carried by members that are not registered SBS dealers. Published October 27, 2026, it narrows one computation: how a portfolio-margin-approved firm sets initial margin on an Uncleared Basic SBS entered with a dealer counterparty to hedge its own commercial risk. The change is technical but affects capital and collateral for firms running SBS books under portfolio margin.

  • The interpretation, dated October 27, 2026, sits under Rule 4240(b)(2)(A)(ii), which governs the Initial Margin Requirement on an Uncleared Basic SBS by reference to Rule 4210 margin on the Equivalent Margin Account.
  • It applies only where the member is approved to offer portfolio margin and the counterparty is a registered security-based swap dealer under Exchange Act section 15F.
  • The swap must be entered to hedge or mitigate the member's commercial risk as defined in SEA Rule 3a67-4.
  • The portfolio-margin treatment is available only if expressly permitted under the member's written risk analysis methodology submitted to FINRA under Rule 4210(g).
  • Rule 4240 itself does not apply to members registered as security-based swap dealers, which instead comply with SEA Rule 18a-3.
Source document
play
FINR FINRA Source document ↗
United States FINRA Markets & Infrastructure ✓ 15 claims 26 Oct 2026

FINRA extends options rulebook to binary options and non-OCC clearing

FINRA has pulled binary options, including the new 'binary metric options' tied to an issuer's reported financials and those cleared outside OCC, squarely inside its existing listed options rules. The changes touch options communications, trading, suitability, supervision and margin, and took effect immediately. This segment covers what the amendments define, which rules they reach and what members must now apply.

  • Amendments to Rules 2220, 2360 and 4210 apply FINRA's listed options framework to binary options, metric options and options cleared outside OCC, effective October 22, 2026.
  • Rule 2360 adds definitions of 'binary option' (Rule 2360(a)(2)) and 'underlying metric' (Rule 2360(a)(38)) and revises existing definitions to cover options overlying a metric.
  • Four updated Rule 4210 interpretations address binary option requirements, spreads, straddles or similar combinations, and margin under 4210(f)(2)(N)(ii).
  • The changes respond to exchange proposals filed with the SEC to list 'binary metric options' whose settlement amount is fixed at creation and payout depends on an issuer's reported metrics.
  • Conforming updates were also made to Rules 2351 and 2357 covering index warrants, currency index warrants and currency warrants.
Source document