Dismal's Smacks

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🧱 Market Reform

Ape comments are DIRECTLY referenced in the SEC's response extending the comment period.

Remember how Wall Street is big mad about FINRA's Securities Lending and Transparency Engine (SLATE) Rule? Ape comments are DIRECTLY quoted in the SEC's response extending the comment period.

I was reading the comments included in this release about FINRA's Securities Lending and Transparency Engine (SLATE) Rule and they started looking familiar. I am so damn proud of all the apes that are commenting as they are getting noticed! Oh yeah, that is because it is from

"The government is seeking to introduce more diverse sanctions mechanisms against unfair trading activities"

Korea's FSC: "After closely studying these cases from overseas, the government is seeking to introduce more diverse sanctions mechanisms against unfair trading activities in capital market."

Today, Korea's Financial Services Commission (FSC) announced a policy seminar organized by the Korea Exchange (KRX) and Korea Capital Market Institute (KCMI) focused on strengthening sanctions against unfair trading activities in the capital market. Vice Chairman Kim Soyoung of the FSC attended the seminar and highlighted the government’

Wall Street is big mad about FINRA's Securities Lending and Transparency Engine (SLATE) Rule 6500 Series. MFA petitions FINRA to limit proposed securities loan reporting rules.

Wall Street is big mad about FINRA's Securities Lending and Transparency Engine (SLATE) Rule 6500 Series. MFA petitions FINRA to limit proposed securities loan reporting rules.

The Managed Funds Association (MFA), represents over 180 fund managers (including traditional hedge funds, credit funds, and crossover funds) with assets exceeding $3.2 trillion, and has urged FINRA to limit its proposed enhanced securities loan reporting rules to what is mandated by the SEC’s final Securities Lending Rule.

Whistleblower Alert! The SEC awards whistleblower more than $37 million

Whistleblower Alert! The SEC awards whistleblower more than $37 million, meaning the fine levied ranged between $123,333,333 and $370,000,000 dollars.

The Securities and Exchange Commission (SEC) announced today a substantial award of more than $37 million to a whistleblower whose information and assistance were pivotal in a successful enforcement action. The whistleblower's internal reporting prompted their employer to conduct an investigation and self-report the findings to the SEC,

SEC Complaint against Andrew Left

SEC Complaint against Andrew Left: "did not provide for the purpose of concealing that he was receiving over $1 million from a hedge fund in exchange for Citron Research publishing certain reports and tweets."

The Securities and Exchange Commission (SEC) announced charges today against activist short seller Andrew Left and his firm, Citron Capital LLC, accusing them of a multi-year scheme to defraud followers by publishing false and misleading stock trading recommendations, netting $20 million in profits. According to the SEC's complaint,

Korea's Act on the Protection of Virtual Asset Users to Take Effect from 7/19: "those who are found to have engaged in unfair trading activities may be subject to criminal punishment or penalty surcharge."

Korea's Act on the Protection of Virtual Asset Users to Take Effect from 7/19: "those who are found to have engaged in unfair trading activities may be subject to criminal punishment or penalty surcharge."

Korea's new Act on the Protection of Virtual Asset Users comes into force on July 19, 2024, marking a significant step in safeguarding users and regulating virtual asset service providers (VASPs). This follows a revision in March 2021, which required VASPs to register with financial authorities and introduced

The SEC awards more than $37 million to a Whistleblower

Whistleblower Alert! The SEC awards more than $37 million to a Whistleblower--meaning the fine levied ranged between $123,333,333-$370,000,000 million.

The Securities and Exchange Commission (SEC) has announced a substantial award of more than $37 million to a whistleblower whose information played a crucial role in a successful enforcement action. The whistleblower provided previously unknown details, met with Enforcement staff, and identified potential witnesses and documents, significantly conserving staff time