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DIGL WORL : N Cattlemen Rd., Suite 200, Sarasota, FL Form 8 K

401 N Cattlemen Rd., Suite 200, Sarasota, FL

June 6, 2024

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DIGL WORL : Via Electronic Mail Form 8 K

Via Electronic Mail

Dear Ms. Friedman,

I write to follow up my letter of April 18, 2024,. ....

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DIGL WORL : N Cattlemen Rd., Suite 200, Sarasota, FL - Form 8-K

DIGL WORL : N Cattlemen Rd., Suite 200, Sarasota, FL - Form 8-K
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Congressional Inaction Devastates Retail Investors: Urgent Resolution Needed to Protect Thousands of Families

Congress urged to address naked short selling and 175-day delay in resolving $MMTLP impact on investors. Urgent action is needed for resolution. ....

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SEC Division of Examinations Large Traders' Risk Alert

Thursday, January 14, 2021
On December 16, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE,” since reorganized as a separate division of the SEC, i.e., the Division of Examinations [“DivEx”]) issued a Risk Alert entitled “Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations.” My December 8, 2020, blog post, “Meeting Specified Standards: the SEC’s OCIE Assesses Compliance,” emphasizes the importance of compliance by regulated industry participants and notes DivEx reports from examinations of a number of recurring deficiencies.
In its December 16 Risk Alert, DivEx reports on similar inspections of broker-dealers and investment advisers and finds, if anything, even more frequent compliance issues concerning “Large Traders” as defined, with respect to recordkeeping, monitoring, and reporting relevant information using the Ele ....

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