Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reformat the Section of the NYSE Price List Setting Forth Credits Applicable to Supplemental Liquidity Providers
Source: https://www.sec.gov/rules/sro/nyse/2021/34-92308.pdf
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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
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
Bank Fail Friday! First National Bank of Lindsay, Lindsay, Okla., was closed today by the Office of the Comptroller of the Currency (OCC), which then appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
The Office of the Comptroller of the Currency (OCC) closed The First National Bank of Lindsay today, appointing the Federal Deposit Insurance Corporation (FDIC) as receiver. To safeguard depositors, the FDIC has entered into an agreement with First Bank & Trust Co. of Duncan, Okla., to assume the insured deposits