SEC Alert! SEC Obtains Final Judgment Against Long Island Investment Professional Steven Pagartanis Charged with Defrauding Investors he was sentenced to 170 months of imprisonment, followed by three years of supervised release
Reddit Post
dismal-jellyfish
Self-Regulatory Organizations Rule Alert! ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Stress Testing Framework and the Indirect Participant Risk Monitoring and Review Policy
Printed Version
(A) Clearing Agency's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change
(A) PURPOSE
ICC proposes to amend the Stress Testing Framework and to adopt and formalize the Indirect Participant Risk Policy. The proposed amendments to the Stress Testing Framework include clarifications
Self-Regulatory Organization Alert! Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E to the close of business on March 18, 2022.
Printed Version
tl:dr: The Market-Wide Circuit Breaker (โMWCBโ) rules, provide an automatic mechanism that is invoked to promote stability and investor confidence during periods of significant stress when cash equities securities experience extreme market-wide declines. The MWCB rules are designed to slow the effects of extreme price declines through
FICC - GOV Alert! A response tampering RRP? Approval of Rule Filing SR-FICC-2021-007 โ Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes
Reddit Post
Self-Regulatory Organizations Rules Alert! Order Approving Proposed Rule Change Relating to Eligible Collateral and Liquidity Risk Management. The proposed rule change clarifies that LCH SA has a group policy that allows LCH SA to perform an extraordinary
Printed Version
I. Introduction
On August 18, 2021, Banque Centrale de Compensation, which conducts business under the name LCH SA (โLCH SAโ), filed with the Securities and Exchange Commission (โCommissionโ or โSECโ), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the โActโ),[1] and Rule
Gary Gensler Testimony Before the United States House of Representatives Committee on Financial Services
Source
Oct. 5, 2021
Good afternoon, Chairwoman Waters, Ranking Member McHenry, and members of the Committee. Iโm honored to appear before you today for the second time as Chair of the Securities and Exchange Commission. As is customary, I will note that my views are my own, and I
Sunshine Act Meetings Alert! 2:00 p.m. on Thursday, October 7, 2021. This meeting will be closed to the public.
Printed Version
TIME AND DATE:
2:00 p.m. on Thursday, October 7, 2021.
PLACE:
The meeting will be held via remote means and/or at the Commission's headquarters, 100 F Street NE, Washington, DC 20549.
STATUS:
This meeting will be closed to the public.
MATTERS TO BE