NSCC Alert! Change in the list of participants: Citadel Securities LLC added with a first trade date of July 29, 2022.
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Economic Alert! The U.S. Bureau of Economic Analysis (BEA) has issued the following news release today: Real gross domestic product (GDP) decreased at an annual rate of 0.9 percent in the second quarter of 2022.
Economic Alert! The U.S. Bureau of Economic Analysis (BEA) has issued the following news release today: Real gross domestic product (GDP) decreased at an annual rate of 0.9 percent in the second quarter of 2022, following a decrease of 1.6 percent in the first quarter.
Source: https:
FINRA Alert! UAT underway for September 1, 2022 launch: certain depository institutions will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRAโs Trade
UAT underway for September 1, 2022 launch: certain depository institutions will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRAโs Trade Reporting and Compliance Engine (TRACE).
Source: https://www.finra.org/filing-reporting/trace/federal-reserve-depository-institution-reporting
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NYSE Alert! Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change: to permit the listing and trading of certain exchange-traded products (โETPsโ) that overlie one or more stocks listed on the Exchange.
SR-NYSE-2022-04
34-95378
Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 5P, 5.2(j)(8)(e), 8P, and 98Comments due: 21 days after publication in the Federal Register
* Submit Comments on SR-NYSE-2022-04
SEC Alert! The Securities and Exchange Commission today separately charged J.P. Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft.
Source: https://www.sec.gov/news/press-release/2022-131
JPMorgan: The JPMorgan order also finds that the firm failed to exercise appropriate and effective oversight of all service provider arrangements and failed to train staff to effectively implement one of its identify theft prevention programs in 2017.
UBS: The UBS order
NSCC Alert! NSCC PROPOSED RULE CHANGE โ ACATS RECEIVER DELETE ENHANCEMENTS (SR-NSCC-2022-011) The Rule Filing would amend the NSCC Rules & Procedures to permit NSCC to expand the โreceiver deleteโ functionality in ACATS to additional products.
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DTC Alert! Pledgee Account Activation (swaps): JPMorgan Chase Bank, National Association and J.P. Morgan Securities, LLC appears to be activating accounts for swaps effective with the opening of business on August 1st, 2022
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