Template Letter for SR-OCC-2024-001 โ ๐ข 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.
Latest
๐จ๐ฌ๐ง 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.
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.
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: 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.
Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures
Firms Involved:
* Order - Certain Broker-Dealer Practices
* Order - Northwestern Mutual Investment Services LLC; Northwestern Mutual Invesโฆ
* Order - Guggenheim Securities LLC; Guggenheim Partners Investment Management LLC
* Order - Oppenheimer & Co. Inc.
* Order - Cambridge Investment Research Inc.; Cambridge Investment Research Adviโฆ
* Order - Key Investment Services LLC; KeyBanc
Senator Sherrod Brown to Secretary of the Treasury Janet Yellen: FSOC Must Be There to Protect Our Economy When Wall Street Tries to Duck Regulators.
Financial Stability Oversight Council Annual Report to Congress
For a long time, itโs been pretty clear what gets rewarded on Wall Street.
Bigger risks mean bigger profits. Bigger profits mean more stock options. Bigger profits mean fatter bonuses. And then, we end up with a Wall Street culture that