DTCC UPDATE a9020 - NSCC Membership Updates

Looks like even more accounts are being set up for 'something'. I wonder if it can have anything to do with an "imminent threat" and everyone expecting some force majeur to occur because of our favorite idiosyncratic stock?

https://www.dtcc.com/-/media/Files/pdf/2021/6/25/a9020.pdf

I hope everyone has a great weekend! Gotta love the Friday news dumps!!!!

Reddit Post

SEC Charges 12 Firms for Recordkeeping Failures and Issues More Than $63 million in penalties.

Source(s): * SEC Order - Blackstone Alternative Credit Advisors LP, Blackstone Management Pa… * SEC Order - TPG Capital Advisors, LLC * SEC Order - Kohlberg Kravis Roberts & Co. L.P. * SEC Order - Apollo Capital Management, L.P. * SEC Order - Carlyle Investment Management L.L.C., Carlyle Global Credit

SEC: Robinhood Securities failed to comply with Regulation SHO, the regulatory framework designed to address abusive short selling practices.

The Securities and Exchange Commission (SEC) announced today that Robinhood Securities LLC and Robinhood Financial LLC, collectively known as Robinhood, have agreed to pay $45 million in civil penalties to settle a series of charges stemming from significant regulatory violations in their brokerage operations. According to the SEC, the firms

Hutchinson managed a team that are responsible for the agency’s supervision of derivatives clearinghouses and their members.

CFTC Announces Departure of Clearing and Risk Director Clark Hutchison, who will depart the agency January 15th.

CFTC Announces Departure of Division of Clearing and Risk Director Clark Hutchison The Commodity Futures Trading Commission (CFTC) has announced that Clark Hutchison, Director of the Division of Clearing and Risk, will leave the agency on January 15. Hutchison, who has held the position since July 2019, has played a