New Netting Accounts Alert! J.P. Morgan Securities, LLC [JSCQ, JSCU] and BOFA Securities, Inc. [MLVO, MLGA, MLHB] activate new netting accounts.
J.P. Morgan Securities, LLC
BOFA Securities, Inc.
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dismal-jellyfish
SEC Alert! The SEC today announced open data enhancements that provide public access to financial statements and other disclosures made by publicly-traded companies on its Electronic Data Gathering, Analysis, and Retrieval system (EDGAR).
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Self-Regulatory Organization Rule Alert! FINRA Order Approving a Proposed Rule Change to Amend FINRA Rule 1011(p) ("Specified Risk Event") (Release No. 34-92710; File No. SR-FINRA-2021-011)
FINRA: Order Approving a Proposed Rule Change to Amend FINRA Rule 1011(p) ("Specified Risk Event") (Release No. 34-92710; File No. SR-FINRA-2021-011)
https://www.sec.gov/rules/sro/finra/2021/34-92710.pdf
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SEC Alert! Sanjay Wadhwa named as Deputy Director of the Division of Enforcement. Mr. Wadhwa most recently served as the Senior Associate Director of the Division of Enforcement in the New York Regional Office (NYRO)
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SEC Alert! U.S. Securities and Exchange Commission and the European Central Bank Sign Memorandum of Understanding Regarding Cooperation with Respect to Security-Based Swap Entities
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Self-Regulatory Organization Rule Alert! NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.34-E (Release No. 34-92657; File No. SR-NYSEArca-2021-71).
Get ready to wake up earlier for premarket! Interesting jab at ETP holders routing orders too....
NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.34-E (Release No. 34-92657; File No. SR-NYSEArca-2021-71); see also Exhibit 5
https://www.sec.gov/rules/sro/nysearca/
Self-Regulatory Organization (SRO) Rule Alert! ICEEU: Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Clearing Membership Policy and Clearing Membership Procedures (Release No. 34-92652)
ICEEU: Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Clearing Membership Policy and Clearing Membership Procedures (Release No. 34-92652; File No. SR-ICEEU-2021-014); see also Exhibit 5
https://www.sec.gov/rules/sro/iceeu/2021/34-92652.pdf
TL:DR