SEC Alert! SEC Charges Caroline Ellison and Gary Wang with Defrauding Investors in Crypto Asset Trading Platform Ftx
source: https://www.sec.gov/litigation/litreleases/2023/lr25617.htm
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dismal-jellyfish
SEC Alert! SEC Charges Samuel Bankman-Fried with Defrauding Investors in Crypto Asset Trading Platform FTX Defendant Concealed His Diversion of FTX Customers Funds to Crypto Trading Firm Alameda Research While Raising More Than $1.8 Billion from Investors
Source: https://www.sec.gov/litigation/litreleases/2023/lr25616.htm
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Whistleblower Alert! SEC Awards Approximately $18 Million to Three Whistleblowers
Source: https://www.sec.gov/news/press-release/2023-10
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SEC Alert! New proposed rules for Disclosure of Order Execution Information--382 pages.
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SEC Alert! SEC to hold an OPEN meeting Wednesday, January 25, 2023 at 10:00 a.m. to consider whether to propose a rule to implement Section 27B of the Securities Act of 1933, as added by Section 621 of the Dodd-Frank (conflicts of interest)
โThis proposed rule is designed to ensure that those who create and sell asset-backed securities cannot profit by betting against those same securities at the expense of those who buy them,โ
- SEC Chairman Mary L. Schapiro Sept. 19, 2011
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FINRA Alert! Without admitting or denying findings, between January 2010 and June 2021 Credit Suisse misreported the covered quantity of over 10,000 Over-The-Counter (OTC) short positions to the LOPR in violation of FINRA Rules 2360(b)(5) and 2010.
Penalty for 11 years misreporting? A $375,000 fine.
Source: https://www.finra.org/sites/default/files/fda_documents/2020066233401 Credit Suisse Securities (USA) LLC CRD 816 AWC lp (2022-1670717997233).pdf
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Commodity Futures Trading Commission (CFTC) Alert! Do you think punting swap reporting data 2 years is ridiculous? Well, say so!
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