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SEC Alert! SEC is soliciting comments on the existing collection of information provided for in Rule 607.

Rule 607 requires disclosure on each new account and on a yearly basis thereafter, on the annual statement, the firm's policies regarding receipt of payment for order flow from any market makers Source: [SEC File No. 270-382, OMB Control No. 3235-0762]: https://public-inspection.federalregister.gov/2023-03154.pdf Good

SEC Alert & OPEN for comment! SEC is reissuing and revising a proposal that was initially published in September 2011 that would implement a provision under the Dodd-Frank

prohibiting certain entities engaging in any transaction that would involve or result in certain material conflicts of interest Source: https://public-inspection.federalregister.gov/2023-02003.pdf (168 pages) [Release No. 33-11151; File No. S7-01-23] RIN 3235-AL04 Prohibition Against Conflicts of Interest in Certain Securitizations ACTION: Supplemental proposed rule. SUMMARY The Securities

NSCC Service Update Alert! Proposed Rule Change Filing – Establish Implementation Date of Revisions Relating to the Excess Capital Premium Charge (SR-NSCC-2023-002) will be implemented by March 13, 2023

Source(s): a9266, SR-NSCC-2023-002, (Release No. 34-96786; File No. SR-NSCC-2022-005) Good evening neighbors of Superstonk, jellyfish here! The following was filed that set off a bit of a nesting doll situation, so please buckle up, this one goes on for a bit! Ok, so the notice points us to SR-NSCC-2023-002:

Federal Reserve Alert! The Fed releases hypothetical scenarios for its 2023 bank stress tests.

For the first time, this year's stress test will feature an additional exploratory market shock to the trading books of the largest and most complex banks, with firm-specific results released. Press release: https://www.federalreserve.gov/newsevents/pressreleases/bcreg20230209a.htm Source: 2023 Stress Test Scenarios (PDF) Related Content:

SEC Alert! Special filing with Federal Register: SEC submits notice for another CLOSED door meeting via Sunshine Act for 2:00 p.m. on Thursday, February 16, 2023.

SEC Alert! SEC has request for approval of extension of the previously approved collection of information provided for in Rules 901, 902, 903(a), 904, 905, 906, 907, and 908 of Regulation SBSR.

Regulation SBSR provides generally for the reporting of security-based swap information. OPEN for comment! Source: https://public-inspection.federalregister.gov/2023-02830.pdf * Regulation SBSR consists of ten rules, Rules 900 to 909 under the Exchange Act. Regulation SBSR provides generally for the reporting of security-based swap information to a registered security-based

Options Clearing Corporation (OCC) Alert! Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning The Options Clearing Corporation's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit.