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Self-Regulatory Organizations Rule Alert! ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Stress Testing Framework and the Indirect Participant Risk Monitoring and Review Policy

Printed Version (A) Clearing Agency's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change (A) PURPOSE ICC proposes to amend the Stress Testing Framework and to adopt and formalize the Indirect Participant Risk Policy. The proposed amendments to the Stress Testing Framework include clarifications

SEC Alert! SEC Obtains Final Judgment Against Long Island Investment Professional Steven Pagartanis Charged with Defrauding Investors he was sentenced to 170 months of imprisonment, followed by three years of supervised release

Self-Regulatory Organizations Rule Alert! ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Collateral and Haircut Procedures

Printed Version (A) Clearing Agency's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change (A) PURPOSE ICE Clear Europe is proposing to revise the Collateral and Haircut Procedures to state explicitly the formula used by the Clearing House for calculating the value of Permitted

Self-Regulatory Organization Alert! Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E to the close of business on March 18, 2022.

Printed Version tl:dr: The Market-Wide Circuit Breaker (“MWCB”) rules, provide an automatic mechanism that is invoked to promote stability and investor confidence during periods of significant stress when cash equities securities experience extreme market-wide declines. The MWCB rules are designed to slow the effects of extreme price declines through

Sunshine Act Meetings Alert! 2:00 p.m. on Thursday, October 7, 2021. This meeting will be closed to the public.

Printed Version TIME AND DATE: 2:00 p.m. on Thursday, October 7, 2021. PLACE: The meeting will be held via remote means and/or at the Commission's headquarters, 100 F Street NE, Washington, DC 20549. STATUS: This meeting will be closed to the public. MATTERS TO BE

Gary Gensler Testimony Before the United States House of Representatives Committee on Financial Services

Source Oct. 5, 2021 Good afternoon, Chairwoman Waters, Ranking Member McHenry, and members of the Committee. I’m honored to appear before you today for the second time as Chair of the Securities and Exchange Commission. As is customary, I will note that my views are my own, and I

Self-Regulatory Organizations Rules Alert! Order Approving Proposed Rule Change Relating to Eligible Collateral and Liquidity Risk Management. The proposed rule change clarifies that LCH SA has a group policy that allows LCH SA to perform an extraordinary

Printed Version I. Introduction On August 18, 2021, Banque Centrale de Compensation, which conducts business under the name LCH SA (“LCH SA”), filed with the Securities and Exchange Commission (“Commission” or “SEC”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the “Act”),[1] and Rule