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Self-Regulatory Organization Rule Alert! BOX Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend IM-7240-1 (Release No. 34-92755; File No. SR-BOX-2021-18)

BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend IM-7240-1 (Release No. 34-92755; File No. SR-BOX-2021-18); see also Exhibit 5 https://www.sec.gov/rules/sro/box/2021/34-92755.pdf Reddit Post

FINRA is requesting comments on short sale reporting! FINRA is considering: 1. modifications to its short interest reporting 2. require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of

FINRA is requesting comment on potential enhancements to its short sale reporting program in Regulatory Notice 21-19. FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to

Self-Regulatory Organizations Rule Alert! DTC Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes (Release No. 34-92748;

DTC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes (Release No. 34-92748; File No. SR-DTC-2021-011) commission shall either approve, disapprove, or institute proceedings to determine whether to disapprove the Proposed Rule Change (File

FICC-MBS Alert! FICC has been notified of J.P. Morgan Securities LLC’s intent to close its JSPB Clearing and EPN account effective September 01, 2020. No further trade date submissions related to this account will be accepted.

SEC Proposed Rules Alert! Retail Investor Feedback Flyer--The SEC is asking individual investors like you what you think about online trading or investment platforms such as websites and mobile applications (“apps”).

Retail Investor Feedback Flyer Online Trading Investment Platforms Feedback Flier.pdf https://www.sec.gov/rules/proposed/2021/online-trading-investment-platforms-feedback-flier.html Reddit Post

SEC News Alert! The Securities and Exchange Commission today announced the appointment of Barbara Roper as Senior Advisor to Gary Gensler.

The Securities and Exchange Commission announced that Joseph K. Brenner has retired as the Chief Counsel of the Division of Enforcement, a role he held since January 2011.