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FDIC Quarterly Banking Profile: Unrealized losses on securities totaled $516.5 billion in the first quarter, an increase of $38.9 billion (8.2 percent) from fourth quarter 2023.

The Quarterly Banking Profile is a quarterly publication that provides the earliest comprehensive summary of financial results for all FDIC-insured institutions. Reports from 4,568 commercial banks and savings institutions insured by the Federal Deposit Insurance Corporation (FDIC) report aggregate net income of $64.2 billion in first quarter 2024,

CFTC Orders J.P. Morgan to pay $200 million.

CFTC Orders J.P. Morgan to pay $200 million for failing to to surveil billions of order messages from 2014 through 2021.

Summary: Facts: "The magnitude of the gaps in JPM’s surveillance was large: On DCM-1, for example, JPM failed to ingest into its surveillance systems—and thus failed to surveil—billions of order messages from 2014 through 2021." Penalty?: Statement of Commissioner Kristin N. Johnson on Settlement Agreement

Fed supervisors summarize assessments of large financial institutions using LFI rating system--in 2023, only 1/3 of large financial institutions had satisfactory ratings.

Fed supervisors summarize assessments of large financial institutions using LFI rating system--in 2023, only 1/3 of large financial institutions had satisfactory ratings.

The Federal Reserve Board publishes its semiannual Supervision and Regulation Report to inform the public of current banking conditions as well as provide transparency about its supervisory and regulatory policies and actions. This report focuses on developments in three areas: 1. Banking System Conditions provides an overview of the financial

From at least February 2017 through the present, Merrill Lynch failed to establish and maintain a supervisory system designed to achieve compliance with its best execution obligations for certain retail equities orders.

From at least February 2017 through the present, Merrill Lynch failed to establish and maintain a supervisory system designed to achieve compliance with its best execution obligations for certain retail equities orders.

Overview: "From at least February 2017 through the present, Merrill failed to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with its best execution obligations for certain retail equities orders" FACTS AND VIOLATIVE CONDUCT: * Merrill failed to reasonably supervise the execution

2 DAYS LEFT TO SUBMIT YOUR COMMENT TO THE SEC

Time is ticking away, with only 2 days remaining to support the rejection of SR-OCC-2024-001: Have you sent your comment to the SEC yet?

Are you ready to join household investors in championing integrity in our financial markets? Step up and claim your place in history amongst the greats.

Comment Template for new FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE))

Comment Template for new FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE)) to require reporting of securities loans and provide for the public dissemination of loan information. Comments Due by 5/28/24.

Before going any further, have you checked out kibblepigeon's post? 💡REGULATORY KILL SHOT 🎯 Rule proposal: SR-OCC-2024-001 has been shut down by the SEC & we're close to getting it kicked out. Time to drive home this win. Find PART TWO here 🎯 ⏰ ⏳ DEADLINE: Friday 17th May 2024

CALL OF DUTY - OPERATION: MARKET REFORM

REGULATORY KILL SHOT - Rule proposal: SR-OCC-2024-001 has been shut down by the SEC. Let's drive this win home.

The SEC's rejects OCC's bid to adjust margin thresholds for clearing members during high market volatility. Does this signal OCC's concern over risk of default?