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SEC Alert! EDGAR Form N-PORT XML Technical Specification (Version 1.10) going live! On September 20, 2021, EDGAR Release 21.3 will introduce the following changes:

Other Techincal Specifications posted:

Form 24F-2 XML Technical Specification (Version 1.0)

Form EDGARLink Online XML Technical Specification (Version 36)

Form N-CEN XML Technical Specification (Version 2.8)

Form N-PORT XML Technical Specification (Version 1.9)

Form D XML Technical Specifications (Version 11)

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SEC Charges 12 Firms for Recordkeeping Failures and Issues More Than $63 million in penalties.

SEC Charges 12 Firms for Recordkeeping Failures and Issues More Than $63 million in penalties.

Source(s): * SEC Order - Blackstone Alternative Credit Advisors LP, Blackstone Management Pa… * SEC Order - TPG Capital Advisors, LLC * SEC Order - Kohlberg Kravis Roberts & Co. L.P. * SEC Order - Apollo Capital Management, L.P. * SEC Order - Carlyle Investment Management L.L.C., Carlyle Global Credit

SEC: Robinhood Securities failed to comply with Regulation SHO, the regulatory framework designed to address abusive short selling practices.

SEC: Robinhood Securities failed to comply with Regulation SHO, the regulatory framework designed to address abusive short selling practices.

The Securities and Exchange Commission (SEC) announced today that Robinhood Securities LLC and Robinhood Financial LLC, collectively known as Robinhood, have agreed to pay $45 million in civil penalties to settle a series of charges stemming from significant regulatory violations in their brokerage operations. According to the SEC, the firms

Hutchinson managed a team that are responsible for the agency’s supervision of derivatives clearinghouses and their members.

CFTC Announces Departure of Clearing and Risk Director Clark Hutchison, who will depart the agency January 15th.

CFTC Announces Departure of Division of Clearing and Risk Director Clark Hutchison The Commodity Futures Trading Commission (CFTC) has announced that Clark Hutchison, Director of the Division of Clearing and Risk, will leave the agency on January 15. Hutchison, who has held the position since July 2019, has played a