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Federal Reserve Board issues enforcement action against JPMorgan Chase & Co. and fines the firm approximately $98.2 million for an inadequate program to monitor firm and client trading activities for market misconduct.

Federal Reserve Board issues enforcement action against JPMorgan Chase & Co. and fines the firm approximately $98.2 million for an inadequate program to monitor firm and client trading activities for market misconduct.

The Federal Reserve Board on Thursday issued an enforcement action against JPMorgan Chase & Co. and fined the firm approximately $98.2 million for an inadequate program to monitor firm and client trading activities for market misconduct. The Board's action requires JPMorgan Chase to review and take corrective

NAPFM, MFA, and AIMA challenging the SEC’s Securities Lending and Short Position Reporting Rules

Industry is 'big mad': NAPFM, MFA, and AIMA file brief challenging the SEC’s Securities Lending and Short Position Reporting Rules and request that both rules be vacated.

Wut Mean?: The National Association of Private Fund Managers (NAPFM), Managed Fund Association (MFA), and Alternative Investment Management Association (AIMA) have challenged two rules recently adopted by the Securities and Exchange Commission (SEC) that require reporting and public disclosure of securities lending and short selling activity in an opening brief

Template Letter for SR-OCC-2024-001 ✅ 📢 Ready to Copy, Edit & Send. Deadline - Monday 4th March

Template Letter for SR-OCC-2024-001 ✅ 📢 Ready to Copy, Edit & Send. Deadline - Monday 4th March

Are you ready to join the 2.5k stakeholders & investors who have already submitted their comment to the SEC? Deadline, Monday 4th March.

UK GOVERNMENT UNVEILS DRAFT LEGISLATION TO REPLACE SHORT SELLING RULE - PROMPTING NEED FOR PUBLIC SCRUTINY

🚨🇬🇧 UK Government Unveils Draft Legislation to Replace EU Short Selling Rules, Prompting Need For Public Scrutiny.

Post-Brexit, UK revises Short Selling rules. New UK SSR risks include: loose definitions, selective enforcement, lack of transparency, broad powers, regulatory challenges with government involvement concerns.

COMMENT TEMPLATE TO INSPIRE PUBLIC ENGAGEMENT WITH SR-OCC-2024-001

Free to Use & Ready-to-Edit Comment Template for SR-OCC-2024-001; An Investor's Writing Guide

SR-OCC-2024-001 Comment Template: Addressing Transparency Concerns, High Risk & Procyclicality, Idiosyncratic Control Settings, Loss Allocation Waterfall, FRM Role, and Proposed Improvements.

CFTC PROPOSES RULE CHANGE TO INCREASE CLEARING MEMBER FUND PROTECTION.

Public Input Sought on Proposed CFTC Rule: The Protection of Clearing Member Funds Held by Derivatives Clearing Organizations

The CFTC proposes rule changes, protecting clearing members' funds through segregation, central bank locations, aligned investments, strict controls, daily reconciliation, and foreign DCO exemptions. Open for public comments.

Incoming No-Action Requests Under Exchange Act Rule 14a-8

Incoming No-Action Requests Under Exchange Act Rule 14a-8: GameStop Rejects Shareholder Claims, Debunks Heat Lamp, and Fully Supports 'Plan' For Shareholders

GameStop Rejects Shareholder Claims, Debunks Heat Lamp, and Fully Supports 'Plan' For Shareholders.