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SEC Alert! SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports. From January 2009 to November 2019, Merrill failed to file hundreds of SARs on no-suspect criminal activity involving Merrill customers.

https://www.sec.gov/litigation/admin/2023/34-97872.pdf Wut mean? * Between January 2009 and November 2019, Merrill didn't file certain Suspicious Activity Reports (SARs) as required by law. These reports are important because they help detect potential illegal activities, like money laundering or fraud, within financial transactions.
dismal-jellyfish ๐Ÿ“ฐ News

FINRA 'Discipline' Alert! Nomura's Misclassification of Reverse Repos Leads to Overstatement of Net Capital by Up to $1.95 Billion. 21 Inaccurate FOCUS Reports Filed. Penalty? Without admitting or denying anything, a censure and $125,000 fine.

Nomura was defaulting January 2021 b/c of GameStop Source: https://www.finra.org/sites/default/files/fda_documents/2021071932301%20Nomura%20Securities%20International%2C%20Inc.%20CRD%204297%20AWC%20lp%20%282023-1676247599239%29.pdf Good evening Superstonk, neighborhood jellyfish back with you one more time before I hit my post limit
dismal-jellyfish ๐Ÿ“š Due Diligence

FINRA 'Discipline' Alert! Instinet, Owned by Nomura (Lehman Bros' 2008 Purchaser), Caught Breaking Rules, Lacking Supervision, Misclassifying Orders, and Straight Up Misreporting Trades from 2015-2019. Same Time GameStop Boxed, Cohencidence?

Penalty? Censure, $165,000 fine without admitting wrong. Source: https://www.finra.org/sites/default/files/fda_documents/2018057165801%20Instinet%2C%20LLC%20CRD%207897%20AWC%20va%20%282023-1673223595507%29.pdf Good evening Superstonk, neighborhood jellyfish bact with you again! I would like to share some more FINRA 'discipline'
dismal-jellyfish ๐Ÿ“š Due Diligence

FINRA 'Discipline' Alert! Barclays Overstates Trading Volume in Thousands of Instances, Inflating Its Reported Data to Bloomberg by Approximately 147 Million Shares! Bloomberg Published It. Penalty? A Censure and a $175,000 Fine

Source: https://www.finra.org/sites/default/files/fda_documents/2019061298301%20Barclays%20Capital%20Inc.%20%20CRD%2019714%20AWC%20gg%20%282022-1671668413165%29.pdf Good evening Superstonk, I hope everyone's week is off to an awesome start! I would like to share some more FINRA 'discipline' with
dismal-jellyfish ๐Ÿ“š Due Diligence

Inflation Alert! FOMC Forecasts Point to Hot Inflation Despite Promised Rate Hikes. PCI at 3.69%, PCE at 4.74/4.94%, & Core PCE at 4.31% Even with Sweetheart Numbers the Rest of the Year, the Fed's Going to Have to Sacrifice Employment for Price Stability

Good evening Superstonk, I hope everyone had a great day! Going into this week's PCI data, I wanted to share that it looks like the Fed's 2023 forecast for inflation rates is blown out of the water. Buckle up for more rate hikes! MonthCPIย Percent Change
dismal-jellyfish ๐Ÿ“š Due Diligence

FICC-GOV & FICC-MBS Alert! Capped Contingency Liquidity Facility (โ€œCCLFโ€) Annual Attestation. GSD & MBSD Clearing Members Given Deadline of Sep 20, 2023 to Certify CCLF Obligations. CCLF is a financial safety net.

https://www.dtcc.com/-/media/Files/pdf/2023/7/10/GOV1509-23.pdf Wut mean? * Netting Members of the Government Securities Division (GSD) must submit their Officers' Certificate relating to CCLF obligations by September 20, 2023. * The Officers' Certificate certifies that Netting Members have included their Individual Total
dismal-jellyfish ๐Ÿ“ฐ News