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SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations

SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations

Press Release The Securities and Exchange Commission today announced settled charges against broker-dealer Citadel Securities LLC for violating a provision of Regulation SHO, the regulatory framework designed to address abusive short selling practices, which requires broker-dealers to mark sale orders as long, short, or short exempt. These records are routinely
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Federal Reserve Alert! Today, the Fed held a CLOSED meeting under expedited procedures as it was determined that the public interest did not require opening the meeting.

Federal Reserve Alert! Today, the Fed held a CLOSED meeting under expedited procedures as it was determined that the public interest did not require opening the meeting.

Source: https://www.federalreserve.gov/aboutthefed/boardmeetings/20230919closed.htm TLDRS: * Federal Reserve Alert! Yesterday and Today, ย CLOSED meetings of the Board of Governors of the Federal Reserve System was held under expedited procedures as it was determined that the public interest did not require opening the meeting. * Discussion of Monetary
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FDIC appoints Arthur J. Murton to serve as Director of the Division of Complex Institution Supervision and Resolution (CISR), following the retirement of Acting Director James McGraw, on October 20, 2023.

FDIC appoints Arthur J. Murton to serve as Director of the Division of Complex Institution Supervision and Resolution (CISR), following the retirement of Acting Director James McGraw, on October 20, 2023.

Source: https://www.fdic.gov/news/press-releases/2023/pr23074.html The Federal Deposit Insurance Corporation (FDIC) Board of Directors appointed Arthur J. Murton to serve as Director of the Division of Complex Institution Supervision and Resolution (CISR), following the retirement of Acting Director James McGraw, on October 20, 2023. Mr.
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Whistleblower Alert! CFTC Grants Two Whistleblower Awards Totaling Over $15 Million--meaning the penalties levied totaled $50-$150 million.

Whistleblower Alert! CFTC Grants Two Whistleblower Awards Totaling Over $15 Million--meaning the penalties levied totaled $50-$150 million.

Source: https://www.whistleblower.gov/sites/whistleblower/files/2023-09/No. 23-WB-05.pdf Source: https://www.whistleblower.gov/sites/whistleblower/files/2023-09/No. 23-WB-06.pdf Press Release: The Commodity Futures Trading Commission today announced whistleblower awards totaling over $15 million to two whistleblowers who provided significant information and assistance that led
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On 9/21 the SEC Investor Advisory Committee to Discuss Exempt Offerings under Regulation D Rule 506 (Companies relying on Rule 506 exemptions can raise an unlimited amount of money)

On 9/21 the SEC Investor Advisory Committee to Discuss Exempt Offerings under Regulation D Rule 506 (Companies relying on Rule 506 exemptions can raise an unlimited amount of money)

The Securities and Exchange Commissionโ€™s Investor Advisory Committee will hold a public, in-person, meeting on September 21 at 10 a.m. ET at the SEC Headquarters in Washington, D.C. The meeting will also be webcast on the SEC website. https://www.investor.gov/introduction-investing/investing-basics/glossary/rule-506-regulation-d Source:
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