News Centre

NYSE Group Consolidated Short Interest Report

Date 26/08/2024

NYSE today reported short interest as of the close of business on the settlement date of August 15,2024.

Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date August 15, 2024

Date 26/08/2024

At the end of the settlement date of August 15, 2024, short interest in 3,037 Nasdaq Global Market^SM securities totaled 12,277,781,936 shares compared with 11,985,723,964 shares in 3,043 Global Market issues reported for the prior settlement date of July 31, 2024. The mid-August short interest represents 2.62 days compared with 2.90 days for the prior reporting period.

CFTC To Host A Career Forum For Law School Students - Registration Opens Today For September 25 Event And Features Chair Of The New York Stock Exchange Sharon Bowen

Date 26/08/2024

The Commodity Futures Trading Commission will host an in-person Career Forum for law school students and recent J.D. graduates on Wednesday, September 25, 2024. This event will feature a fireside chat with Sharon Bowen, former CFTC Commissioner and current Chair of the New York Stock Exchange, alongside CFTC Chairman Rostin Behnam.

Statement Of CFTC Commissioner Caroline D. Pham On Swap Data Reporting Settlement Order

Date 26/08/2024

Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham today released the following statement on the CFTC’s recent settlement order regarding The Bank of New York Mellon:

“I am pleased that the CFTC has provided recognition of self-reporting and cooperation credit in this settlement order with The Bank of New York Mellon. I hope the CFTC will adopt a clear standard that is applied consistently as I have previously recommended. Implementing my proposals to improve the CFTC’s internal governance and procedures will promote government accountability and provide further transparency and regulatory clarity.”

CFTC Orders The Bank Of New York Mellon To Pay $5 Million For Swap Reporting And Supervision Failures And Violation Of A Prior CFTC Order

Date 26/08/2024

The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges with The Bank of New York Mellon (BNYM) for repeatedly failing to correctly report millions of swap transactions to a registered swap data repository, in violation of a prior CFTC order against BNYM, and for failing to properly supervise its swap dealer business as required by the Commodity Exchange Act (CEA) and CFTC regulations. [See CFTC Press Release Nos. 8033-19 and 8042-19] The order imposes a $5 million civil monetary penalty and incorporates BNYM’s decision to retain an independent compliance consultant to review and provide advice regarding its compliance program.

SEC Charges Sound Point Capital Management For Insider Trading Policy Failures - Fund Adviser’s Policies Failed To Consider Potential Impact Of Material Nonpublic Information Gained From Role As Company Lenders

Date 26/08/2024

The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Sound Point Capital Management LP for failing to establish, maintain, and enforce written policies and procedures reasonably designed to prevent the misuse of material nonpublic information (MNPI) concerning its trading of collateralized loan obligations (CLOs). To settle the SEC’s charges, Sound Point agreed to pay a $1.8 million civil penalty.

SEC: Market Structure Updated Metrics

Date 26/08/2024

SEC Staff is pleased to provide you with the following updates:

• Updated Metrics. Data series containing daily cancel-to-trade ratios, trade-order volumes, hidden rates, and odd-lot rate metrics for Q2 2024 are now available. This data extends to 150 total months the data series you can view in the data visualization tool as well as download in CSV format. The visualization for quote-life data now defaults to Q2 2024.

CFTC Orders Wisconsin Man To Pay Civil Monetary Penalty For Acting As An Unregistered Commodity Trading Advisor

Date 26/08/2024

The Commodity Futures Trading Commission today announced it entered an order requiring Mark Hendershott, located in Wisconsin, to pay a $75,000 civil monetary penalty for acting as an unregistered commodity trading advisor (CTA).

SEC Charges Abra With Unregistered Offers And Sales Of Crypto Asset Securities - Abra Also Allegedly Operated As An Unregistered Investment Company

Date 26/08/2024

The Securities and Exchange Commission today filed settled charges against Plutus Lending LLC, which does business as Abra, for failing to register the offers and sales of its retail crypto asset lending product, Abra Earn. The SEC also charged Abra with operating as an unregistered investment company.

SEC Issues $24 Million Awards To Two Whistleblowers

Date 26/08/2024

The Securities and Exchange Commission today announced awards of more than $24 million to two whistleblowers whose information and assistance led to an SEC enforcement action and an action brought by another agency.