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POSTPONED: October 5, 2023 Meeting of the Global Markets Advisory Committee.

POSTPONED: October 5, 2023 Meeting of the Global Markets Advisory Committee. Was to be a presentation on swap market oversight, tokenized assets, & NFT Regulation.

88 FR 62068: * At this meeting, the GMAC will hear a presentation from the GMAC’s Global Market Structure Subcommittee on the Subcommittee’s workstreams involving U.S. Treasury market reforms, global standards and best practices for market volatility controls and circuit breakers, improving liquidity across asset classes, and international

CFTC Whistleblower Determination

Whistleblower Alert! CFTC Awards Whistleblower More Than $300,000. This Means the Penalty Levied Ranged from $1-$3 million

Press Release: The Commodity Futures Trading Commission today announced an award of more than $300,000 to a whistleblower whose particularly informative tip caused the Division of Enforcement (DOE) to open an investigation that led to an underlying enforcement action. That tip precisely and accurately described the misconduct at issue.

FINRA 'discipline' Alert! Between November 2017 and August 2022, Citigroup violated the "Short Tender Rule". Penalty? Censure, $2.5M fine, no admission of wrongdoing.

FINRA 'discipline' Alert! Between November 2017 and August 2022, Citigroup violated the "Short Tender Rule". Penalty? Censure, $2.5M fine, no admission of wrongdoing.

Hello and happy Tuesday, I hope everyone is off to a great start of the week! I would like to share some more FINRA 'discipline' with y'all, this time it's Citigroup again! As these releases convey a ton of information, I hope this format

Penalty? Without admitting or denying anything, a censure, and $6 million fine...

FINRA 'discipline' Alert! From at least November 2012 through March 2022, Goldman included incorrect information for at least 97 million transactions.

Hello and happy Monday, I hope everyone had a GREAT weekend! I would like to share some more FINRA 'discipline' with y'all, this time it's Goldman Sachs--after the SEC fined them for something similar last week. As these releases convey a ton of information,

Treasury: "We believe buybacks can play an important role in helping to make the Treasury market more liquid and resilient by providing liquidity support. The buyback program will also help Treasury to better achieve our debt management objectives."

Treasury: "We believe buybacks can play an important role in helping to make the Treasury market more liquid and resilient by providing liquidity support. The buyback program will also help Treasury to better achieve our debt management objectives."

Remarks by Assistant Secretary for Financial Markets Josh Frost Source: https://home.treasury.gov/news/press-releases/jy1757 Highlights: * "We believe buybacks can play an important role in helping to make the Treasury market more liquid and resilient by providing liquidity support." * "The buyback program will also help

SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations

SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations

Press Release The Securities and Exchange Commission today announced settled charges against broker-dealer Citadel Securities LLC for violating a provision of Regulation SHO, the regulatory framework designed to address abusive short selling practices, which requires broker-dealers to mark sale orders as long, short, or short exempt. These records are routinely

Goldman Sachs to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data for at least 163 million transactions.

Goldman Sachs to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data for at least 163 million transactions.

Press Release: The Securities and Exchange Commission today announced settled charges against Goldman Sachs & Co. LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. Goldman agreed to pay a $6 million penalty to resolve the SEC's charges.