Latest

Proposed Rule: https://www.sec.gov/rules/proposed/2022/34-96458.pdf Source: https://www.sec.gov/news/press-release/2022-216 The Securities and Exchange Commission today reopened the comment period on proposed amendments intended to modernize and improve the disclosure required about an issuer’s repurchases of its equity securities, often

Source: https://www.finra.org/filing-reporting/orf/orf-clearing-messages-update Since Monday, December 5, 2022, FINRA is experiencing an issue with ORF clearing messages for transactions that are cancelled, corrected, broken or reversed and thus causing duplicate settlement messages and incorrect settlement amounts for those transactions. In the interim, until FINRA resolves

FICC - GOV Alert! Government Securities Division (“GSD”) will reset each Netting Member’s Individual Total Amount (“CCLF Cap”) on January 3, 2023. The reset will reflect a look-back period of July 1, 2022, to December 31, 2022. The new CCLF Cap will be effective as of January 3, 2023.

Source: https://www.sec.gov/rules/sro/nscc/2022/34-96426.pdf Comments due: 15 days after publication in the Federal Register Rebuttal comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 3, Exhibit 4, Exhibit 5 This filing constitutes Amendment No. 3 to proposed rule change

Source: https://www.sec.gov/news/press-release/2022-213 The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 8 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host three panels to discuss: Account statement