certain

JP Morgan Chase FINRA Discipline Alert! From January 2019 to July 2022, the firm’s financial risk management controls and supervisory procedures were not reasonably designed to prevent certain erroneous orders that exceeded appropriate price or size parameters. Punishment? A $750k fine & censure.

by Dismal-Jellyfish https://www.finra.org/sites/default/files/fda_documents/2018058111301%20J.P.%20Morgan%20Securities%2C%20LLC%20CRD%2079%20AWC%20gg.pdf The firm’s market access controls failed to prevent five erroneous orders routed to exchanges and alternative trading systems: On January 30, 2019, a firm trader on the Program Trading Agency Desk routed to the market an order …

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Is JP Morgan good? Request an order to permit certain registered closed-end management investment companies to issue multiple classes of shares and to impose early withdrawal charges and asset-based distribution and/or service fees with respect to certain classes.

by Dismal-Jellyfish Source: https://public-inspection.federalregister.gov/2023-04866.pdf An order granting the requested relief will be issued unless the Commission orders a hearing. Interested persons may request a hearing on any application by emailing the SEC’s Secretary at Secretarys-Office@sec.gov and serving the relevant applicant with a copy of …

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Are You Certain We’re Not Now In A Crash?

The most worrying event happening right now is Credit Suisse, but it's basically receiving zero attention. — Financelot (@FinanceLancelot) December 16, 2022 https://t.co/kLXJmCENxU This is some real stuff — Nishant Maheshwari (@nishant10a) December 16, 2022 GOLDMAN SACHS TO LAY OFF …

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Goldman Sachs requests SEC relief to permit “certain joint transactions” otherwise prohibited by the Investment Company Act. Basically they want to co-invest in portfolio companies with other certain affiliated investment entities which is currently against the rules. MORE CHEATING by CHEATERS!

by welp007 With enough eyes on it, SEC might say no. This time in history is amazing with technology millions of people can see what’s going on now and the media that once controlled what we all saw and heard …

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Conservative Treehouse: “An insider with a certain ‘green’ bank is set to reveal one of the biggest banking scams in modern history.

https://www.facebook.com/ConservativeTreehouse/posts/1706225139412850 Conservative Treehouse shared Big Bank Watchdog’s post. 3 hrs · Truth be told we receive our fair share of conspiracy theories in our inbox. And while 99% of them carry little to no weight there’s always that 1% that …

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