News Centre

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

Date 26/09/2023

At the end of the settlement date of September 15, 2023, short interest in 3,247 Nasdaq Global Market^SM securities totaled 10,586,849,412 shares compared with 10,277,162,921 shares in 3,267 Global Market issues reported for the prior settlement date of August 31, 2023. The mid-September short interest represents 3.23 days compared with 3.40 days for the prior reporting period.

NYSE Group Consolidated Short Interest Report

Date 26/09/2023

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

SEC Charges California Advisory Firm AssetMark For Failing To Disclose Multiple Financial Conflicts

Date 26/09/2023

The Securities and Exchange Commission today announced that Concord, California-based registered investment adviser AssetMark Inc. has agreed to pay more than $18 million to settle charges related to undisclosed conflicts of interest involving a cash sweep program operated by its affiliated custodian and its receipt of millions of dollars in revenue sharing payments from third-party custodians.

CFTC - POSTPONED: October 5, 2023 Meeting Of The Global Markets Advisory Committee

Date 26/09/2023

The meeting of the Commodity Futures Trading Commission’s Global Markets Advisory Committee (GMAC) scheduled for Thursday, October 5, 2023 from 1:00 p.m. to 5:00 p.m. (Eastern Daylight Time) is being postponed to a later date to be determined.

Nasdaq To Hold Third Quarter 2023 Investor Conference Call

Date 26/09/2023

Nasdaq (Nasdaq: NDAQ) has scheduled its Third Quarter 2023 financial results announcement.

Senior management will be available for questions from the investment community following prepared remarks.

All participants can access the conference via webcast through the Nasdaq Investor Relations website at: http://ir.nasdaq.com/.

Corrected: Avenir Technology Upgrades Palestine Exchange Central Securities Depository - Provides New Software To Replace Existing Solution

Date 26/09/2023

Avenir Technology Limited (www.avenir-technology.com),  a global developer of post-trade Financial Market Infrastructure solutions, has today announced that it will deploy its AvenirCSD functionality as part of an upgrade by the Palestine Exchange. Founded in 1995 and now home to 49 issuers, the exchange has offered a fully automated trading and post-trade solution since its inception and was the first exchange in the region to offer such functionality. (www.pex.ps)

MIAX Exchange Group - Options & Equities Markets - Reminder: Reg SCI / SIFMA BCP Pre-Test On Saturday, September 30, 2023

Date 26/09/2023

Overview:

As previously announced in the April 11, 2003 and September 14, 2023 Alerts, the MIAX Exchange Group will be participating in the 2023 SIFMA BCP Testing on Saturday, October 14, 2023.  All Members that are required to test with MIAX Options, MIAX Pearl Options, MIAX Emerald Options and/or MIAX Pearl Equities Exchanges in accordance with Regulation Systems Compliance and Integrity (Regulation SCI) were notified on April 4th and April 5th, 2023.  However, all Members are encouraged to test. 

Statement Of CFTC Commissioner Kristin N. Johnson Regarding CFTC Bringing Charges Against Damien Moran, Bright Future Financial LLC (d/b/a Oakhurst Metals), And Crown Bullion, Inc. For Precious Metals Fraud

Date 26/09/2023

Today the Commodity Futures Trading Commission (CFTC) announced the filing of a complaint in the U.S. District Court for the Northern District of Texas charging Damien Moran and a series of companies he controlled, including Bright Future Financial LLC (d/b/a Oakhurst Metals) and Crown Bullion, Inc, with fraud.  According to the CFTC’s complaint, Moran used these companies to orchestrate a type of fraud that has become all too common in recent years.  The complaint alleges that Moran solicited individuals via radio advertisements, telephone, social media, and his companies’ websites to tout the safety of precious metals investments, then helped the individuals open self-directed IRAs for which his companies would be authorized representatives, issued fraudulent invoices to the IRA custodians, and misappropriated the funds used to pay the invoices.  Moran and his companies received over $7 million from over 100 victims.

Vega Exits Stealth With Over $8 Million In Funding To Reshape Wealth Management

Date 26/09/2023

• Former Elliott, KKR, Blackstone and Revolut executives team up to bridge the gap between the institutional and private wealth management worlds
• The fintech company is building technology that enables the next generation of high-net-worth individuals and their advisors to manage their wealth like top institutional investors
• The company is backed by Motive Ventures (lead), Picus Capital, Citi Ventures, No Label Ventures, GFC and 60+ senior financial services and fintech executives

CFTC Charges Dallas And Los Angeles Area Precious Metals Dealers In Ongoing Fraud Scheme Garnering Over $7 Million From Retirement Accounts - Court Issues Restraining Order To Protect Assets And Documents

Date 26/09/2023

The Commodity Futures Trading Commission today announced it has filed a complaint in the U.S. District Court for the Northern District of Texas against Dallas-based Damien Moran, and precious metals dealer companies Crown Bullion, Inc. and Bright Future Financial LLC (also d/b/a Oakhurst Metals) for fraudulently soliciting customers to purchase precious metals in self-directed individual retirement accounts, and misappropriating customer funds and assets.