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”).

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

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

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