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SEC Alert! Special filing with Federal Register: SEC submits notice for the 13th CLOSED door meeting this year via the Sunshine Act for 2:00 p.m. on Thursday, April 6, 2023.

Source: https://public-inspection.federalregister.gov/2023-06962.pdf CLOSED door meetings this year: Meeting NumberDateSuperstonk Coverage123/30https://www.reddit.com/r/Superstonk/comments/11zw0jo/sec_alert_special_filing_with_federal_register/113/23https://www.reddit.com/r/Superstonk/comments/11t0j6c/sec_alert_special_filing_with_federal_register/103/16https://www.reddit.

Federal Reserve Alert! Senior Credit Officer Opinion Survey March 2023. Dealers were asked about the current net positioning of their clients with respect to Interest Rate volatility

For hedge funds, 1/4 of respondents , on net, indicated either that most clients are net short. Source: https://www.federalreserve.gov/data/scoos/scoos-202303.htm Summary: The March 2023 Senior Credit Officer Opinion Survey on Dealer Financing Terms collected qualitative information on changes in credit terms and conditions in

Commodity Futures Trading Commission (CFTC) Alert! CFTC Staff Issues No-Action Letter Regarding the Migration of Credit Default Swaps from ICE Clear Europe Ltd. Solutions

“require a temporary exemption from the trade execution requirement and required methods of execution.” Press Release: https://www.cftc.gov/PressRoom/PressReleases/8683-23 The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) today published a no-action letter regarding the requirements in section 2(h)(8) of the Commodity

SEC Alert! Administrative Proceedings for Barclays PLC and Barclays Bank PLC: SEC creates fund for the $200 million fine Barclays received for selling "an unprecedented amount of securities—cumulatively totaling approximately $17.7 billion"

In addition, due to its failure to establish any internal control to track the amount of securities that were offered or sold on a real-time basis, beginning on or around January 28, 2021, BBPLC offered and sold securities in excess of what was registered on the 2019 Shelf. Source: https:

SEC Alert! SEC proposes (OPEN for comment) to continue collecting information for “Rule 15c3-1”, which requires brokers-dealers to have at all times sufficient liquid assets to meet their current liabilities, particularly the claims of customers.

https://public-inspection.federalregister.gov/2023-06628.pdf Rule 15c3-1 Requires brokers-dealers to have at all times sufficient liquid assets to meet their current liabilities, particularly the claims of customers. The rule facilitates the monitoring of the financial condition of broker-dealers by the Commission and the various self-regulatory organizations. * It is estimated

SEC Alert! Chair Gary Gensler: "I am pleased to support the President’s FY 2024 request of $2.436 billion for the SEC, to put us on a better track for the future"

"FY 2023 funding for the first time brought the agency’s staffing back above where we were seven years ago." Source: https://www.sec.gov/news/testimony/gensler-testimony-subcommittee-financial-services-and-general-government-032923 Highlights: Full-time equivalents (FTEs) at the SEC and in individual Divisions. Overall SEC FTEs include all Offices and Divisions. * The

FDIC sends supplemental materials to Consolidated Reports of Condition & Income for 1st Quarter 2023 for Held-to-Maturity Assets (banks hold -$620 billion Unrealized losses as of 4th quarter).

"Amending to retroactively report a debt security in another category without evidence is inappropriate" Unrealized losses on available–for–sale and held-to-maturity securities totaled $620 billion in the fourth quarter Remarks by Chairman Martin J. Gruenberg before the Committee on Banking, Housing, and Urban Affairs * Unrealized losses on