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NSCC, DTC, FICC-GOV, & FIC-MBS Alert! New Minimum Capital Requirements (Effective August 26, 2023).Any member that does not meet its new minimum capital requirement on Effective Date will have a grace period of 60 calendar days from Effective Date

SEC Alert! SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel

Source: https://www.sec.gov/news/press-release/2023-19 Reddit Post

FINRA Alert! Short Interest – What It Is, What It Is Not. In post, FINRA calls out how some websites might be redistributing the Short Sale Volume Daily File and refer to the data as “short interest,” incorrectly.

Source: https://www.finra.org/investors/insights/short-interest What Is Short Interest? To understand what short interest is, we should first talk about short sales. Put simply, a short sale involves the sale of a stock an investor does not own. When an investor engages in short selling, two things

Commodity Futures Trading Commission (CFTC) Alert! Proposal for comment: intended to ensure that the CFTC is aware of any existing conflict of interest.

requires former members and employees who are employed or retained to represent any person before the CFTC within 2 years of their separation. Reddit Post

SEC Alert! Open for comment: Information Collection requires a registered clearing agency to submit for SEC determination any security-based swap, or any group, category, type, or class of security-based swaps it plans to accept for clearing

FDIC Alert! FDIC Announces Senior Leadership Changes in Division of Risk Management Supervision-- new Deputy Director of Capital Markets and Accounting Policy and Deputy Director of Operational Risk

Source: https://www.fdic.gov/news/press-releases/2023/pr23005.html The Federal Deposit Insurance Corporation (FDIC) today announced the appointments of two senior leaders within the agency’s Division of Risk Management Supervision (RMS). Ryan Billingsley is the FDIC’s new Deputy Director of Capital Markets and Accounting Policy and

Federal Reserve Alert! Federal Reserve Board issues policy statement to promote a level playing field for all banks with a federal supervisor, regardless of deposit insurance status.

Source: https://www.federalreserve.gov/newsevents/pressreleases/bcreg20230127a.htm The Federal Reserve Board on Friday issued a policy statement to promote a level playing field for all banks with a federal supervisor, regardless of deposit insurance status. The statement makes clear that uninsured and insured banks supervised by the Board