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NSCC Clearing Services - Equities Alert! DISCIPLINARY NOTICE CONCERNING LEK SECURITIES CORPORATION. For breaching the Activity Cap on six separate trading days worth unsettled clearing activity,

NSCC Clearing Services - Equities Alert! DISCIPLINARY NOTICE CONCERNING LEK SECURITIES CORPORATION. For breaching the Activity Cap on six separate trading days worth unsettled clearing activity, NSCC has imposed the maximum fine of $120,000 ($20,000 for each violation)... Reddit Post

SEC Alert! Hester M. Peirce Statement on the Order Granting Temporary Conditional Exemptive Relief from Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail

Federal Reserve Alert! Vice Chair Lael Brainard speech: Crypto-Assets and Decentralized Finance through a Financial Stability Lens at Bank of England Conference, London, United Kingdom

Source Recent volatility has exposed serious vulnerabilities in the crypto financial system.1 While touted as a fundamental break from traditional finance, the crypto financial system turns out to be susceptible to the same risks that are all too familiar from traditional finance, such as leverage, settlement, opacity, and maturity

Federal Reserve Alert! Vice Chair Lael Brainard speech: Crypto-Assets and Decentralized Finance through a Financial Stability Lens at Bank of England Conference, London, United Kingdom

Source: https://www.federalreserve.gov/newsevents/speech/brainard20220708a.htm Given the foundational role of fiat currency, there may be an advantage for future financial stability to having a digital native form of safe central bank money—a central bank digital currency. A digital native form of safe central bank money

SEC Alert! SEC Charges Empires Consulting Corp. with Fake Trading Scheme that allegedly raised at least $40 million by luring investors with false claims of one percent daily profits, but instead misappropriated large sums of investors' money for personal

Source: https://www.sec.gov/news/press-release/2022-119 According to the SEC's complaint, since at least late 2020, EmpiresX, based in South Florida, sold investments touting daily profits of one percent earned by a trading "bot" or Nicholas' manual trading. The complaint alleges that, in

FINRA Alert Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6120 (Trading Halts) to Conform to Recent Amendments to the SIP Plans and to Make Technical and Clarifying Changes to the Rule

Source (pdf) Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6120 (Trading Halts) to Conform to Recent Amendments to the SIP Plans and to Make Technical and Clarifying Changes to the Rule Comments due: 21 days after publication in the Federal RegisterAdditional Materials:

UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy.

Source: https://www.sec.gov/news/press-release/2022-117 Reddit Post