News Centre

FINRA Foundation-CFA Institute Research Focuses On Gen Z Investors - Report Examines Attitudes, Behaviors Of Investors Ages 18 To 25

Date 24/05/2023

FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing: Social Media, Crypto, FOMO, and Family.

Remarks By US Under Secretary For International Affairs Jay Shambaugh At The Society For International Development Annual Conference

Date 24/05/2023

I. Global Outlook for Development

Thank you Leland, and thank you to the Society for International Development for welcoming me today to this conference.

Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date May 15, 2023

Date 24/05/2023

At the end of the settlement date of May 15, 2023, short interest in 3,359 Nasdaq Global Market^SM securities totaled 10,456,611,754 shares compared with 10,469,054,205 shares in 3,390 Global Market issues reported for the prior settlement date of April 28, 2023. The mid-May short interest represents 2.97 days compared with 3.07 days for the prior reporting period.

Statement Of CFTC Commissioner Kristin N. Johnson: Enforcement Action To Stop Bitcoin Fraud Targeting The Spanish-Speaking Community

Date 24/05/2023

Today, the Commodity Futures Trading Commission (CFTC or Commission) filed a Complaint in the U.S. District Court for the Central District of California against David Carmona (a/k/a/ David Segundo Carmona a/k/a Wuilver Segundo) (Carmona), Juan Arellano Parra (Arellano), Moses Valdez (Valdez), David Brend (Brend), and Marco A.  Ruiz Ochoa (Ruiz) (together, Defendants), charging the Defendants with defrauding more than 170 individuals—a group of predominantly Spanish-speaking investors—out of hundreds of thousands of dollars.

CFTC Commissioner Pham To Speak At The Conference Of The World Forum Of Central Securities Depositories (Virtual)

Date 24/05/2023

CFTC Charges Five Defendants With Fraudulent Digital Assets Trading Scheme

Date 24/05/2023

The Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the Central District of California against David Carmona formerly of Elmhurst, New York, Juan Arellano Parra formerly of Chino, California, Moses Valdez of Hesperia, California, David Brend of Tampa, Florida and Marco A. Ruiz Ochoa of Nashua, New Hampshire, all jointly doing business as Icomtech. 

NYSE Group Consolidated Short Interest Report

Date 24/05/2023

NYSE today reported short interest as of the close of business on the settlement date of May 15, 2023.

New Self-Regulatory Organization Of Canada And Canadian Securities Administrators - Investor Alert: Advisor Impersonation Schemes

Date 24/05/2023

New Self-Regulatory Organization of Canada (New SRO) and the Canadian Securities Administrators (CSA) are warning Canadian investors not to be fooled by fraudsters impersonating real investment advisors.

Minutes Of The Federal Open Market Committee, May 2-3, 2023

Date 24/05/2023

The Federal Reserve on Wednesday released the minutes of the Federal Open Market Committee meeting that was held on May 2–3, 2023.

FSB: Virtual Outreach Event On Insurers’ Critical Functions And Digital Innovation In Resolution Planning

Date 24/05/2023

The identification of critical functions is an important part of resolution planning, which is often conducted as a first step to help inform appropriate resolution strategies. During recent years, FSB member jurisdictions have started developing their insurance resolution frameworks, identifying critical functions, and acquiring practical experience. At the same time, digital innovation has started shaping the landscape of the insurance sector, modifying both insurance products and insurance business processes. This has affected resolution planning efforts and the continuity of critical functions in resolution.