DTC Proposed Rule Change โ Amendments to the DTC Rules and the Procedures, Service Guide, DTC Operational Arrangements and Elimination of the Canadian Dollar Settlement Feature of the Canadian-Link Service (SR-DTC-2021-012)
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๐ฐ News
SR-NYSE-2020-95: Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, to Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B
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Didn't see posted when checking, NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness Proposed Rule Change to Amend Options 2 at Section 4, Obligations of Market Makers and Lead Market Makers and Section 5, Market Maker Quotations.
NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 2 at Section 4, Obligations of Market Makers and Lead Market Makers and Section 5, Market Maker Quotations (Release No. 34-92470; File No. SR-BX-2021-031); see also Exhibit 5
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(Release No. 34-92484; File No. S7-22-20) Order Granting Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation
Order Granting Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic (Release No. 34-92484; File No. S7-22-20)
EDIT: This thing is 208 pages big and dropped on a Friday night. Trying to
SEC Staffing Alert! Gary Gensler bringing on YJ Fischer to the SEC as Director of the Office of International Affairs
https://www.sec.gov/news/press-release/2021-137
Office of International Affairs
The Office of International Affairs (OIA) promotes investor protection, cross-border securities transactions and fair, efficient and transparent markets by advancing international regulatory and enforcement cooperation, promoting the adoption of high regulatory standards worldwide, and formulating technical assistance programs to
Whistleblower Alert! SEC Awards Nearly $3 Million to Whistleblower.
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UBS Settles Charges Related to Investments in Complex Exchange-Traded Product
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