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Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date September 13, 2019

Date 24/09/2019

At the end of the settlement date of September 13, 2019, short interest in 2,367 Nasdaq Global Market^SMsecurities totaled 8,289,152,727 shares compared with 8,308,462,471 shares in 2,370 Global Market issues reported for the prior settlement date of August 30, 2019. The mid-September short interest represents 5.18 compared with 4.66 days for the prior reporting period.
SEC Charges TMC Bonds With Failing To Protect Confidential Subscriber Information

Date 24/09/2019

The Securities and Exchange Commission today announced that TMC Bonds LLC, operator of an alternative trading system (ATS) for fixed income securities, has agreed to pay $2.1 million to settle charges arising from TMC Bonds’ failure to protect confidential subscriber information.
NYSE Group Consolidated Short Interest Report

Date 24/09/2019

NYSE today reported short interest as of the close of business on the settlement date of September 13, 2019.
SEC Charges Comscore Inc. And Former CEO With Accounting And Disclosure Fraud

Date 24/09/2019

The Securities and Exchange Commission today charged global information and media analytics firm, Comscore, Inc., and its former CEO with engaging in a fraudulent scheme to overstate revenue by approximately $50 million and making false and misleading statements about key performance metrics.
During Climate Week, NYS Department Of Financial Services Becomes First U.S. State Banking Regulator To Join Leading International Coalition Of Bank Supervisors Dedicated To Addressing Climate Change - DFS Also Joins Sustainable Insurance Forum, A Network of International Insurance Supervisors Helping Address Climate Change - DFS Launches Partnerships With International Regulators As Part Of New Agency Focus On Addressing Climate Change From The Banking And Insurance Perspectives

Date 24/09/2019

Financial Services Superintendent Linda A. Lacewell today announced that the Department of Financial Services has become the first U.S. state banking regulator to join the Network for Greening the Financial System (NGFS), a leading international coalition of nearly fifty bank supervisors dedicated to mobilizing the financial industry to address climate change. In addition, DFS today will also join the Sustainable Insurance Forum (SIF), an international network of insurance supervisors seeking to find collaborative ways to help the global insurance industry meet the challenges posed by climate change.

Remarks At The SIFMA Equity Market Structure Conference: The Dynamics Of Our Markets And The Changing Structure On Which They Are Built, SEC Commissioner Elad L. Roisman, New York, NY, Sept. 19, 2019

Date 24/09/2019

Thank you for the kind introduction, T.R. [Lazo], and good morning to you all. I am grateful to be here today to discuss our equity markets. Before I begin, I must deliver my usual disclaimer that my views and remarks are my own and do not represent those of the SEC or my fellow Commissioners. If my wife were here, she would add her name to that list.
US Department Of Justice: Senior Manager At Fiat Chrysler Automobiles Charged In Connection With A Conspiracy To Mislead Regulators And The Public About Diesel Vehicle Emissions

Date 24/09/2019

A senior manager of diesel drivability and emissions at Fiat Chrysler Automobiles (FCA) was charged in an indictment unsealed today for his alleged role in a conspiracy to mislead U.S. regulators, customers and the public by making false and misleading statements about the emissions control software used in more than 100,000 FCA diesel vehicles in order to increase the vehicles’ emissions when they were not running on federal emissions test cycles.
Remarks At The U.S. Treasury Market Conference, SEC Commissioner Elad L. Roisman, New York, NY, Sept. 23, 2019

Date 24/09/2019

Good afternoon from Washington, D.C. I am grateful for the opportunity to speak with you today during this fifth annual Treasury market conference. I wish I could be there with you in person, but I appreciate the accommodation, and your time, so that I can share a few of my thoughts with you via video. On the bright side, this video may deliver better production value than if I was there live, especially for important aspects like hair and makeup.
Ontario Securities Commission Announces Market Structure Advisory Committee Members

Date 24/09/2019

The Ontario Securities Commission (OSC) announced today the membership of the Market Structure Advisory Committee (MSAC) for the 2019–2021 term.
Opening Statement At House Financial Services Committee Hearing, SEC Commissioner Robert J. Jackson Jr., Washington D.C., Sept. 24, 2019

Date 24/09/2019

Chair Waters, Ranking Member McHenry, and members of the Committee, thank you very much for the opportunity to join you today. It is my honor to be joining my colleagues to testify before you on our task at the Securities and Exchange Commission—protecting ordinary American investors.