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  • CFTC Orders TD Bank And Cowen To Pay Civil Monetary Penalties For Recordkeeping And Supervision Failures For Firm-Wide Use Of Unapproved Communication Methods

    Date 14/08/2024

    The Commodity Futures Trading Commission today issued two orders simultaneously filing and settling charges against The Toronto Dominion Bank (TD Bank), a swap dealer, and against Cowen and Company (Cowen), previously registered with the CFTC as an introducing broker, for failing to maintain and preserve records that were required to be kept under CFTC recordkeeping requirements and failing to diligently supervise matters related to their businesses as CFTC registrants.

  • US Treasury Unveils New CFIUS Enforcement Website To Provide Further Clarity And Transparency Regarding CFIUS Penalties And Other Enforcement Actions - In 2023 And To Date In 2024, CFIUS Has Issued Three Times More Penalties Than It Had In The Previous Nearly 50-Years Since Its Establishment

    Date 14/08/2024

    Today, in a continuing evolution and sharpening of the Committee on Foreign Investment in the United States (CFIUS) as a critical national security tool, and in furtherance of greater transparency, the Treasury Department updated the CFIUS website to share more details and guidance with the public and the investing community about how CFIUS approaches compliance and enforcement, as well as a list of its penalty actions. 

  • Grace And Grit, Remarks Of CFTC Commissioner Caroline D. Pham, Recipient Of The 2024 Belva Ann Lockwood Award, The George Washington University Law School And Law Association Of Women

    Date 14/08/2024

    Thank you so very much for this incredible honor, and to everyone who is here today. It really means a lot to me. I want to thank The George Washington University Law School, Dean Dayna Bowen Matthew, Associate Dean Rosa Celario and Professor Dalia Mitchell, the Law Association of Women and Gavi Kalaga and Shelby Amato, and of course the Belva Ann Lockwood Society for the very kind introductions, for this award and recognition, and for providing a forum to lift up women in law. I am grateful to you all for your commitment to telling our story and celebrating women’s achievements. It is truly humbling to be this year’s honoree for reflecting the character, determination, and attributes of Belva Ann Lockwood—GW Law’s first alumna, a suffragette and leader for women’s rights, the first woman to argue a case before the Supreme Court of the United States, and a U.S. Presidential candidate in 1884 and 1888. Undoubtedly, she accomplished all these “firsts” with both grace and grit while staying true to her values and beliefs.

  • Robinhood Markets, Inc. Reports July 2024 Operating Data

    Date 14/08/2024

    Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) today reported select monthly operating data for July 2024:

    • Funded Customers at the end of July were 24.2 million (up approximately 70 thousand from June 2024, up over one million year-over-year).
    • Assets Under Custody (AUC) at the end of July were $144.5 billion (up 3% from June 2024, up 53% year-over-year). Net Deposits were $4.2 billion in July, translating to a 36% annualized growth rate relative to June 2024 AUC. Over the last twelve months, Net Deposits were $35.8 billion, translating to an annual growth rate of 38% relative to July 2023 AUC.
      Equity Notional Trading Volumes were $104.4 billion (up 21% from June 2024, up 51% year-over-year). Options Contracts Traded were 160.5 million (up 22% from June 2024, up 51% year-over-year). Crypto Notional Trading Volumes were $5.3 billion (up 23% from June 2024, up 56% year-over-year).
    • Margin balances at the end of July were $5.4 billion (up 8% from the end of June 2024, up 59% year-over-year).
    • Total Cash Sweep balances at the end of July were $21.8 billion (up 4% from the end of June 2024, up 72% year-over-year).
    • Total Securities Lending Revenue in July was $21 million (flat to June 2024, up 24% year-over-year).

  • SIFMA: Court Strikes Down Missouri Rules That Violate Federal Law And Grants Statewide Permanent Injunction

    Date 14/08/2024

    Today a federal court in Missouri issued a final ruling in favor of the Securities Industry and Financial Markets Association (SIFMA) on its legal challenge to two newly enacted Missouri disclosure and consent rules.

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