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FINRA Alert! FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot Trades Comment Period Expires: January 30, 2023

Good evening r/superstonk, neighborhood jellyfish back with another proposed rule change, this time with FINRA. for ease of reading, I have tried to format from the source into the following sections: 1. Summary 2. Action Requested (comment) 3. Background and Discussion 4. Proposal Relating to Delayed Treasury Spot Trades

FINRA Alert! Proposed rule would require broker-dealers to publicly disclose specified information about their order routing practices for Securities.

Source: https://www.sec.gov/rules/sro/finra/2022/34-96415.pdf Additional Materials: Exhibit 2a, Exhibit 2b, Exhibit 3, Exhibit 5 Submit Comments on SR-FINRA-2022-031 FINRA is proposing to adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC

SEC Alert! SEC Awards $20 Million to Whistleblower

Source: https://www.sec.gov/news/press-release/2022-211 The Securities and Exchange Commission today announced an award of $20 million to a whistleblower who provided new and critical information that led to the success of an enforcement action. In determining the appropriate award amount, the SEC considered that the whistleblower

Federal Reserve & FDIC Alert! Results of their joint review of the resolution plans—also known as living wills (for bankruptcy)—that the eight largest and most complex domestic banking organizations submitted in 2021.

Federal Reserve & FDIC Alert! Results of their joint review of the resolution plans—also known as living wills (for bankruptcy)—that the eight largest and most complex domestic banking organizations submitted in 2021. The agencies identified a shortcoming in Citigroup Inc.'s resolution plan. Source: https://www.federalreserve.

SEC Alert! SEC Publishes FY22-26 Strategic Plan outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse workforce to serve America’s investors and capital-raising

SEC Alert! SEC Publishes FY22-26 Strategic Plan outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse workforce to serve America’s investors and capital-raising entrepreneurs alike. Source: https://www.sec.gov/news/press-release/2022-210 https://www.sec.gov/files/

FINRA November 2022 Monthly Disciplinary Actions Alert! In a repeat offense and without admitting or denying the findings, Wedbush Securities Inc censured, fined a total of $900,000.

Source: https://www.finra.org/sites/default/files/fda_documents/2019061872201%20Wedbush%20Securities%2C%20Inc.%20CRD%20877%20AWC%20lp%20%282022-1666916413754%29.pdf During the periods of January 1, 2016 through July 31, 2020 and December 9, 2020 through April 7, 2021, Wedbush Securities, Inc. violated Regulation SHO Rules 204(

Government Securities Division Participants Alert! Citadel Treasury International Ltd added as a Sponsored Member of the Government Securities Division effective 11/28/2022