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https://stocktwits.com/sunkissed1/message/547101947
This pic shows OSTK timeline compared to GNS. We are two weeks away from the cover of all covers!
Here we go
Feel the spring? Feel the shorts looking for shares?
I do
Break 1.02 and 1.15 will come fast
Looking to break a buck today
For sure!! 5 MM at a buck and higher now
L2 looking incredible! MM are adjusting above a dollar
1.07 looks easy now
Thanks, No need to waste my time on trash! My response will be when this stock goes over 11 dollars
Volume rolling in!!!
Love a close around .92
Iggy another one
She’s going to spike
They let me closer to take better vedio❤️ I love it @Mullen_USA $muln #muln @DavidMichery Mullen 5 RS pic.twitter.com/WO0BvrgL8D
— spencer farmer (@spencerfarmer33) October 3, 2023
Our march over a buck has begun
$MULN EV Battery Packs 💲💲💲💲💲💲💲💲💲💲💲 https://t.co/exmku0vIcd pic.twitter.com/SWN2kv0mTP
— Sheepadoodles (@PaulRoc58170404) October 2, 2023
Market Cap Market Cap
50,861,375
09/29/2023
Authorized Shares
75,000,000
10/02/2023
Outstanding Shares
20,344,550
10/02/2023
Restricted
19,410,000
10/02/2023
Unrestricted
934,550
10/02/2023
Held at DTC
25,000
10/02/2023
🌍🇹🇷As we strive to make CorePass ID available around the entire world, we are thrilled to announce that Turkish officially joins the array of languages that will be available for the application upon its release!
#CorePass #UniqueID #BeYounique
SEC Charges 10 Firms with Widespread Recordkeeping Failures
FOR IMMEDIATE RELEASE
2023-212
Washington D.C., Sept. 29, 2023 —
The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures to maintain and preserve electronic communications. The firms admitted the facts set forth in their respective SEC orders and acknowledged that their conduct violated recordkeeping provisions of the federal securities laws. The firms agreed to pay combined penalties of $79 million as outlined below and have begun implementing improvements to their compliance policies and procedures to address these violations.
Interactive Brokers Corp. and affiliate Interactive Brokers LLC (together, Interactive Brokers) agreed to pay a $35 million penalty;
Robert W. Baird & Co. Inc. agreed to pay a $15 million penalty;
William Blair & Company LLC and affiliate William Blair Investment Management LLC (WBIM) agreed to pay a $10 million penalty;
Nuveen Securities LLC agreed to pay an $8.5 million penalty;
Fifth Third Securities Inc. agreed to pay an $8 million penalty; and
Perella Weinberg Partners LP (Perella Weinberg), together with Tudor, Pickering, Holt & Co. Securities LLC (TPH) and Perella Weinberg Partners Capital Management LP (Perella Weinberg Capital), which self-reported, agreed to pay a $2.5 million penalty.
“One of the orders included in today’s announced actions is not like the others,” said Gurbir S. Grewal, Director of the SEC’s Division of Enforcement. “There are real benefits to self-reporting, remediating and cooperating.”
The SEC’s investigations uncovered pervasive and longstanding off-channel communications at all 10 firms. As described in the SEC’s orders, the broker-dealer firms admitted that, from at least 2019, their employees communicated through personal text messages about the business of their employers, and the investment adviser firms admitted that their employees sent and received off-channel communications related to recommendations made or proposed to be made and advice given or proposed to be given. The firms did not maintain or preserve the substantial majority of these off-channel communications, in violation of the federal securities laws. By failing to maintain and preserve required records, certain of the firms likely deprived the SEC of these off-channel communications in various SEC investigations. The failures involved employees at multiple levels of authority, including supervisors and senior managers.
Interactive Brokers, Baird, William Blair, Nuveen, Fifth Third, Perella Weinberg, and TPH were each charged with violating certain recordkeeping provisions of the Securities Exchange Act of 1934 and with failing to reasonably supervise with a view to preventing and detecting those violations. Baird, William Blair, WBIM, Fifth Third, and Perella Weinberg Capital were each charged with violating certain recordkeeping provisions of the Investment Advisers Act of 1940 and with failing to reasonably supervise with a view to preventing and detecting those violations.
In addition to the significant financial penalties, each of the firms was ordered to cease and desist from future violations of the relevant recordkeeping provisions and was censured. The firms also agreed to retain independent compliance consultants to, among other things, conduct comprehensive reviews of their policies and procedures relating to the retention of electronic communications found on personal devices and their respective frameworks for addressing non-compliance by their employees with those policies and procedures.
Separately, the Commodity Futures Trading Commission announced settlements with Interactive Brokers for related conduct.
The SEC’s investigations into Interactive Brokers, Perella Weinberg, TPH, and Perella Weinberg Capital were conducted by Laurel S. Fensterstock, Karolina Klyuchnikova, Austin Thompson, and Alison R. Levine and supervised by Thomas P. Smith Jr. of the New York Regional Office. The SEC’s investigations into Baird, William Blair, WBIM, Nuveen, and Fifth Third were conducted by Som P. Dalal, Ruta G. Dudenas, Amy S. Cotter, and Anne C. McKinley and supervised by Paul A. Montoya and Kathryn A. Pyszka of the Chicago Regional Office.
SEC Charges 10 Firms with Widespread Recordkeeping Failures
FOR IMMEDIATE RELEASE
2023-212
Washington D.C., Sept. 29, 2023 —
The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures to maintain and preserve electronic communications. The firms admitted the facts set forth in their respective SEC orders and acknowledged that their conduct violated recordkeeping provisions of the federal securities laws. The firms agreed to pay combined penalties of $79 million as outlined below and have begun implementing improvements to their compliance policies and procedures to address these violations.
Interactive Brokers Corp. and affiliate Interactive Brokers LLC (together, Interactive Brokers) agreed to pay a $35 million penalty;
Robert W. Baird & Co. Inc. agreed to pay a $15 million penalty;
William Blair & Company LLC and affiliate William Blair Investment Management LLC (WBIM) agreed to pay a $10 million penalty;
Nuveen Securities LLC agreed to pay an $8.5 million penalty;
Fifth Third Securities Inc. agreed to pay an $8 million penalty; and
Perella Weinberg Partners LP (Perella Weinberg), together with Tudor, Pickering, Holt & Co. Securities LLC (TPH) and Perella Weinberg Partners Capital Management LP (Perella Weinberg Capital), which self-reported, agreed to pay a $2.5 million penalty.
“One of the orders included in today’s announced actions is not like the others,” said Gurbir S. Grewal, Director of the SEC’s Division of Enforcement. “There are real benefits to self-reporting, remediating and cooperating.”
The SEC’s investigations uncovered pervasive and longstanding off-channel communications at all 10 firms. As described in the SEC’s orders, the broker-dealer firms admitted that, from at least 2019, their employees communicated through personal text messages about the business of their employers, and the investment adviser firms admitted that their employees sent and received off-channel communications related to recommendations made or proposed to be made and advice given or proposed to be given. The firms did not maintain or preserve the substantial majority of these off-channel communications, in violation of the federal securities laws. By failing to maintain and preserve required records, certain of the firms likely deprived the SEC of these off-channel communications in various SEC investigations. The failures involved employees at multiple levels of authority, including supervisors and senior managers.
Interactive Brokers, Baird, William Blair, Nuveen, Fifth Third, Perella Weinberg, and TPH were each charged with violating certain recordkeeping provisions of the Securities Exchange Act of 1934 and with failing to reasonably supervise with a view to preventing and detecting those violations. Baird, William Blair, WBIM, Fifth Third, and Perella Weinberg Capital were each charged with violating certain recordkeeping provisions of the Investment Advisers Act of 1940 and with failing to reasonably supervise with a view to preventing and detecting those violations.
In addition to the significant financial penalties, each of the firms was ordered to cease and desist from future violations of the relevant recordkeeping provisions and was censured. The firms also agreed to retain independent compliance consultants to, among other things, conduct comprehensive reviews of their policies and procedures relating to the retention of electronic communications found on personal devices and their respective frameworks for addressing non-compliance by their employees with those policies and procedures.
Separately, the Commodity Futures Trading Commission announced settlements with Interactive Brokers for related conduct.
The SEC’s investigations into Interactive Brokers, Perella Weinberg, TPH, and Perella Weinberg Capital were conducted by Laurel S. Fensterstock, Karolina Klyuchnikova, Austin Thompson, and Alison R. Levine and supervised by Thomas P. Smith Jr. of the New York Regional Office. The SEC’s investigations into Baird, William Blair, WBIM, Nuveen, and Fifth Third were conducted by Som P. Dalal, Ruta G. Dudenas, Amy S. Cotter, and Anne C. McKinley and supervised by Paul A. Montoya and Kathryn A. Pyszka of the Chicago Regional Office.
SEC Charges 10 Firms with Widespread Recordkeeping Failures
FOR IMMEDIATE RELEASE
2023-212
Washington D.C., Sept. 29, 2023 —
The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures to maintain and preserve electronic communications. The firms admitted the facts set forth in their respective SEC orders and acknowledged that their conduct violated recordkeeping provisions of the federal securities laws. The firms agreed to pay combined penalties of $79 million as outlined below and have begun implementing improvements to their compliance policies and procedures to address these violations.
Interactive Brokers Corp. and affiliate Interactive Brokers LLC (together, Interactive Brokers) agreed to pay a $35 million penalty;
Robert W. Baird & Co. Inc. agreed to pay a $15 million penalty;
William Blair & Company LLC and affiliate William Blair Investment Management LLC (WBIM) agreed to pay a $10 million penalty;
Nuveen Securities LLC agreed to pay an $8.5 million penalty;
Fifth Third Securities Inc. agreed to pay an $8 million penalty; and
Perella Weinberg Partners LP (Perella Weinberg), together with Tudor, Pickering, Holt & Co. Securities LLC (TPH) and Perella Weinberg Partners Capital Management LP (Perella Weinberg Capital), which self-reported, agreed to pay a $2.5 million penalty.
“One of the orders included in today’s announced actions is not like the others,” said Gurbir S. Grewal, Director of the SEC’s Division of Enforcement. “There are real benefits to self-reporting, remediating and cooperating.”
The SEC’s investigations uncovered pervasive and longstanding off-channel communications at all 10 firms. As described in the SEC’s orders, the broker-dealer firms admitted that, from at least 2019, their employees communicated through personal text messages about the business of their employers, and the investment adviser firms admitted that their employees sent and received off-channel communications related to recommendations made or proposed to be made and advice given or proposed to be given. The firms did not maintain or preserve the substantial majority of these off-channel communications, in violation of the federal securities laws. By failing to maintain and preserve required records, certain of the firms likely deprived the SEC of these off-channel communications in various SEC investigations. The failures involved employees at multiple levels of authority, including supervisors and senior managers.
Interactive Brokers, Baird, William Blair, Nuveen, Fifth Third, Perella Weinberg, and TPH were each charged with violating certain recordkeeping provisions of the Securities Exchange Act of 1934 and with failing to reasonably supervise with a view to preventing and detecting those violations. Baird, William Blair, WBIM, Fifth Third, and Perella Weinberg Capital were each charged with violating certain recordkeeping provisions of the Investment Advisers Act of 1940 and with failing to reasonably supervise with a view to preventing and detecting those violations.
In addition to the significant financial penalties, each of the firms was ordered to cease and desist from future violations of the relevant recordkeeping provisions and was censured. The firms also agreed to retain independent compliance consultants to, among other things, conduct comprehensive reviews of their policies and procedures relating to the retention of electronic communications found on personal devices and their respective frameworks for addressing non-compliance by their employees with those policies and procedures.
Separately, the Commodity Futures Trading Commission announced settlements with Interactive Brokers for related conduct.
The SEC’s investigations into Interactive Brokers, Perella Weinberg, TPH, and Perella Weinberg Capital were conducted by Laurel S. Fensterstock, Karolina Klyuchnikova, Austin Thompson, and Alison R. Levine and supervised by Thomas P. Smith Jr. of the New York Regional Office. The SEC’s investigations into Baird, William Blair, WBIM, Nuveen, and Fifth Third were conducted by Som P. Dalal, Ruta G. Dudenas, Amy S. Cotter, and Anne C. McKinley and supervised by Paul A. Montoya and Kathryn A. Pyszka of the Chicago Regional Office.
Iggy, Wow we are getting more and more bashers. Always a great sign!!! Going to wire more funds
Great post thank you!!
Dark pool trading explained
Dark pool trading explained
Shares are so thought now! This is ready to explode
When you see this amount of negative concern on a stock then you know it’s a winner
when I see IG TK and HB on one ticker then I buy more and keep buying on the dips.
My only hope is there is something of extreme value coming in to support the 500k
It’s with chase they bought at .50
We can’t even hold a .70 bid exhausting!
I bought more, holding over 80k now
Citadel?
SEC obtains thousands of Wall Street staffers’ WhatsApp messages as probe widens: sources
By
Reuters
Published Sep. 25, 2023, 1:41 p.m. ET
The US securities regulator has collected thousands of staff messages from more than a dozen major investment companies, escalating its probe into Wall Street’s use of private messaging apps, said four people with direct knowledge of the matter.
Previously, the Securities and Exchange Commission had asked the companies to internally review the messages in its investigation of Wall Street’s use of WhatsApp, Signal and other unapproved messaging apps to discuss work.
MORE ON:WALL STREET
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Archegos founder Bill Hwang to face SEC fraud charges over $36B firm’s epic collapse
ADVERTISEMENT
The two-year crackdown into potential breaches of record-keeping rules initially targeted broker dealers, netting regulators over $2 billion in fines.
While Reuters and other media have reported that the SEC’s “off-channel” communication probe has expanded to investment advisers, its move to review thousands of their staff messages has not previously been reported.
It marks an escalation of the investigation and raises the stakes for the companies and the executives concerned by exposing their conduct to SEC scrutiny.
“It increases risk,” one source said. “The more information you give the SEC, the more you fuel the beast.”
ADVERTISEMENT
?The two-year crackdown into potential breaches of record-keeping rules initially targeted broker dealers, netting regulators over $2 billion in fines.REUTERS
FIRM ORDER AGREEMENT
THIS FIRM ORDER AGREEMENT (the "Agreement") is made effective as of the date of full execution of this Agreement (the "Effective Date") between Mullen Automotive, Inc., a Delaware corporation ("MULLEN") and Randy Marion Isuzu, LLC dba Randy Marion MULLEN, a North Carolina limited liability company ("Buyer"). MULLEN and Buyer may hereafter be referred to collectively as the "Parties" and each individually, a "Party."
RECITALS
A. MULLEN is engaged in the business of manufacturing and selling electric urban delivery and urban utility vehicles, including a Class 1 electric urban delivery vehicle, as more particularly described in Exhibit A (the "Vehicle," and more than one, the "Vehicles").
B. Buyer is part of the Randy Marion Automotive Group and has substantial experience in the automotive industry as a distributor of commercial vehicles.
C. MULLEN and Buyer desire that Buyer will be MULLEN' s first strategic authorized dealer with respect to the Vehicles.
D. Buyer wishes to purchase from MULLEN, and MULLEN desires to manufacture and sell to Buyer, a total of not less than 6,000 units of the initial production ("Initial Production") of 6,800 units (the "First Order Requirement") of the Vehicles manufactured and produced by MULLEN.
NOW, THEREFORE, in consideration of the mutual covenants, terms, and conditions set forth herein, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties agree as follows:
1. Recitals. The Parties acknowledge that the above Recitals are true and correct, and are incorporated herein as a part of this Agreement.
2. Purchase and Sale of Vehicles.
(a) During the Term, MULLEN shall manufacture and sell to Buyer, and Buyer shall purchase from MULLEN that number of Vehicles sufficient to satisfy the First Order Requirement subject to the terms and conditions of this Agreement.
(b) Subject to paragraph 2(c), Buyer shall purchase the Vehicles from MULLEN at the base wholesale prices set forth on Exhibit A ("Base Wholesale Prices"):
(i) For each model, Base Wholesale Prices shall be adjusted based on the cost of final specifications and options selected by Buyer.
(ii) Base Wholesale Prices are firm and are not subject to increase except upon 90 days notice to Buyer. Any such price increase shall not apply to purchase orders placed by Buyer and accepted by MULLEN.
1
(iii) MULLEN shall deliver the Vehicles, at Buyer's cost, to the street address for delivery specified in the applicable purchase order.
(c) Beginning on the Effective Date, and thereafter on the first day of each month during the remainder of the Term, Buyer will provide MULLEN with a written rolling twelve month (or other period, at Buyer's discretion) good faith forecast or estimate of the quantity of Vehicles which Buyer may order for each month during such period. Buyer's forecasts under this paragraph shall take into account MULLEN's standard lead times for Vehicle purchase orders set forth in paragraph 2(d).
(d) MULLEN's standard lead time on purchase orders of Vehicle(s) is four (4) months after a purchase order is accepted by MULLEN, unless otherwise specifically agreed to in writing. The lead time calculation begins the next business day after Buyer's purchase order is received and accepted by MULLEN and ends when Vehicle(s) are made available for gate release to Buyer.
(e) Buyer shall issue a purchase order contemporaneous with the execution of this Agreement for 1000 Vehicles. Buyer shall issue another purchase order on or before May 1st, 2023 for no less than 1000 Vehicles. All additional purchase orders required to fulfill the First Order Requirement shall be issued no later than August 1st, 2023.
(f) MULLEN will use its best efforts to fill each purchase order presented by Buyer and accepted by MULLEN. Buyer hereby acknowledges that (i) MULLEN shall have the right in its sole discretion, to reject any purchase order presented by Buyer, without liability to Buyer, if at the time such purchase order is presented to MULLEN, Buyer shall have more than 1000 Vehicles in inventory that are not the subject of a firm order from a customer; and (ii) the availability of certain of the Vehicles may be limited from time to time due to certain factors, including MULLEN's production capacity, varying dealer demand, Federal Government demand/fulfillment requirements, weather and transportation conditions, nationwide sales patterns and governmental regulation. MULLEN will use its best efforts to allocate and distribute available Vehicles among all of its dealers pursuant to fair and equitable allocation and distribution policies. In the event that MULLEN has outstanding orders totaling, cumulatively, more than 2000 Vehicles from dealers other than Buyer prior to the time that MULLEN has completed the Initial Production, MULLEN shall give written notice to Buyer and Buyer shall, no later than three (3) business days after receipt of such notice, issue purchase order(s) sufficient to satisfy the First Order Requirement. If Buyer fails to issue such purchase orders, MULLEN may accept and fill orders from such other dealers in its sole discretion and without liability to Buyer.
(g) MULLEN shall not be liable for delay or failure to deliver the Vehicles where such delay or failure to deliver is the result of any event beyond the reasonable control of MULLEN, including but not limited to any law or regulation of any governmental entity, act of God, fire, flood, earthquake, storm, epidemic, quarantine restriction, war, insurrection or riot, civil unrest, freight embargo, car wreck, delay or shortage in transportation, unusually severe weather or inability to obtain necessary labor, materials, fuel, energy, or manufacturing facilities due to such causes.
https://www.sec.gov/Archives/edgar/data/1499961/000110465922127222/tm2232780d1_ex10-1.htm
$MULN #MULN Here are 8 containers with 64PKGs. This is likely #MullenThree frames and parts. https://t.co/zqB2K4EoYG pic.twitter.com/Fc4ff6YkP8
— ChaCha 𝕏 (@chacha72kobe4er) September 25, 2023
Entrepreneur Resorts Ltd (“ERL”) is now available for trading under the ticker symbol $ERL on Upstream!🎉ERL’s free digital collectible NFT commemorating the dual listing is now available for all Upstream participants to claim with the claim code: ERL.
@MERJExchange
Dear VEGA NFT Owners,
One year has passed since the initial introduction of the VEGA NFT. This pioneering non-art NFT is distinguished by its technical sophistication, which has granted its owners the exclusive and distinct rights to mine Core Coin (XCB) on the Core Blockchain, along with ownership of the Core Token (CTN).
The first mined XCB was paid to the XCB HODL Pool on 9/26/2022, a collective pool of rewards in a steady production of coins with a cumulative hashing power of 1.5 Mh/s.
In accordance with the initial contract, as the current year draws to a close and the VEGA NFT approaches its expiration, the anticipation of the final payouts heightens. Beginning shortly, the XCB and CTN rewards will be sent to your specified wallets.
Read on to find out the conditions and instructions for the distribution.↘️
An Amazing Performance💥🚀
The performance has met and exceeded expectations in its yearly run, resulting in selling out all the 2,000 pieces of this unique technical non-fungible token.
Some note-worthy statistics entail a collective reward of more than one million XCB mined in the XCB HODL Pool, with the numbers still growing as we speak. The collective reward will be distributed among the owners along with the 2,500 CTN reward.
Moreover, the asset’s valuation has seen an impressive surge of 73.7%, ascending from its initial price of 650€ to 1129.2€.
With this amazing performance, we are now entering the distribution stage.
The Distribution💫
The distribution of VEGA NFT rewards will be initiated once both the CorePass ID application and the Ping Exchange platform have officially been launched.
Given that the application and the platform have not been released thus far, proper mechanisms for compensating for the slight delay have been put in place. As the rewards are tightly locked in the XCB HODL pool, as per the initial contract, the management has decided that the NFT rewards keep being paid out until the eventual day of the launch, resulting in a higher amount of mined XCB per owner. The Core Token portion of the rewards shall, likewise, be paid out upon the platforms’ release.
Once the platform release date has been officially announced, which should be in the coming weeks, the VEGA NFT holders will be informed of how to claim the rewards through the Ping Exchange, with a step by step walkthrough of the process.
A Change in Trading Options (NFT as a security)❌
We believe you are aware that, over the past year, in a few selected jurisdictions, there have been notable shifts in global crypto and NFT trading regulations. For the sake of the safety of the Ping Exchange and its license, we have decided not to trade the VEGA NFT on the Ping Exchange with specific consideration to our community and any other participants in the project.
As a consequence, due to regulatory, compliance, and legal opinions, the non-fungible token will not be accessible for trading on the Ping Exchange and will not be featured on the platform.
The rationale arises from the fact that selected jurisdictions categorize NFT assets as securities. In adherence to the most current regulatory framework, the exchange is presently unable to list this type of asset.
Therefore, in order to mitigate any potential risks to both the exchange and its users, a decision has been reached to revise the initial trading conditions for this asset and disable the option for trading. This does not, however, apply to the unbundled XCB and CTN that the NFT owners will receive. The two Core Blockchain currencies shall be tradable freely as soon as the rewards are released.
Final Words✅
The release of CorePass ID and Ping Exchange is on the right track, having successfully met all regulatory prerequisites and achieved full compliance. The final preparations for the release are currently underway.
Upon the platform’s debut, VEGA NFT distributions will be promptly facilitated according to the steps that will be provided to the VEGA NFT holders.
Thank you.
💫Read our update on the VEGA NFT finishing its “one-year orbit” and learn about the upcoming distribution of the 2,500 CTN and the collective XCB rewards locked in the cumulative XCB HODL Pool.
https://medium.com/codetech/vega-nft-finishing-the-orbit-448ed07076ad
Great news