SEC Alert! SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel
Source: https://www.sec.gov/news/press-release/2023-19
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dismal-jellyfish
FINRA Alert! Short Interest โ What It Is, What It Is Not. In post, FINRA calls out how some websites might be redistributing the Short Sale Volume Daily File and refer to the data as โshort interest,โ incorrectly.
Source: https://www.finra.org/investors/insights/short-interest
What Is Short Interest?
To understand what short interest is, we should first talk about short sales. Put simply, a short sale involves the sale of a stock an investor does not own. When an investor engages in short selling, two things
Commodity Futures Trading Commission (CFTC) Alert! Proposal for comment: intended to ensure that the CFTC is aware of any existing conflict of interest.
requires former members and employees who are employed or retained to represent any person before the CFTC within 2 years of their separation.
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SEC Alert! Open for comment: Information Collection requires a registered clearing agency to submit for SEC determination any security-based swap, or any group, category, type, or class of security-based swaps it plans to accept for clearing
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FDIC Alert! FDIC Announces Senior Leadership Changes in Division of Risk Management Supervision-- new Deputy Director of Capital Markets and Accounting Policy and Deputy Director of Operational Risk
Source: https://www.fdic.gov/news/press-releases/2023/pr23005.html
The Federal Deposit Insurance Corporation (FDIC) today announced the appointments of two senior leaders within the agencyโs Division of Risk Management Supervision (RMS). Ryan Billingsley is the FDICโs new Deputy Director of Capital Markets and Accounting Policy and
Federal Reserve Alert! Federal Reserve Board issues policy statement to promote a level playing field for all banks with a federal supervisor, regardless of deposit insurance status.
Source: https://www.federalreserve.gov/newsevents/pressreleases/bcreg20230127a.htm
The Federal Reserve Board on Friday issued a policy statement to promote a level playing field for all banks with a federal supervisor, regardless of deposit insurance status. The statement makes clear that uninsured and insured banks supervised by the Board
SEC Alert! SEC submitted to OMB request for approval of extension of the previously approved collection of information provided for in Rule 602.
Obligates national securities exchanges to make available to the public the best bid, best offer, and aggregate quotation size for each โsubject security
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