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Robinhood Markets, Inc. To Present At The Morgan Stanley Technology, Media & Telecom Conference On March 8, 2023

Date 01/03/2023

Today, Robinhood Markets, Inc. (NASDAQ: HOOD) announced that it will be participating in the upcoming Morgan Stanley Technology, Media & Telecom Conference on March 8, 2023.
Nasdaq To Hold First Quarter 2023 Investor Conference Call

Date 01/03/2023

Nasdaq (Nasdaq: NDAQ) has scheduled its First Quarter 2023 financial results announcement.
FTSE Russell Announces 2023 Russell US Indexes Reconstitution Schedule

Date 01/03/2023

FTSE Russell, the global index, data and analytics provider, today announced the schedule for the 35th annual Russell Reconstitution of its Russell US Indexes suite, set to occur at the end of June.
SIFMA Compliance & Legal Society Announces JP Morgan Chase’s Jill Centella As Recipient Of DE&I Advocate Award - Award Will Be Presented At The C&L Annual Seminar In San Diego On March 14

Date 01/03/2023

SIFMA today announced Jill Centella, Global Head of Litigation, Government Investigations and Human Resources Legal, J.P. Morgan Chase & Co.Jill Centella (JPMC), as the 2023 recipient of the SIFMA C&L Society’s Diversity, Equity and Inclusion (DE&I) Advocate Award.
SEC Charges Ontrak Chairman Terren Peizer With Insider Trading - Healthcare Executive Avoided More Than $12 Million In Losses By Selling Shares Through Rule 10b5-1 Trading Plans Before Stock Freefall

Date 01/03/2023

The Securities and Exchange Commission today charged Terren S. Peizer, Executive Chairman of the Santa Monica, California-based healthcare treatment company Ontrak Inc., with insider trading for selling more than $20 million of Ontrak stock between May and August 2021 while in possession of material nonpublic negative information related to the company’s largest customer.

US Office Of The Comptroller Of The Currency Releases CRA Evaluations For 22 National Banks And Federal Savings Associations

Date 01/03/2023

The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became public during the period of February 1, 2023, through February 28, 2023. The list contains only national banks, federal savings associations, and insured federal branches of foreign banks that have received ratings. The possible ratings are outstanding, satisfactory, needs to improve, and substantial noncompliance.
Richard Walker Named 2023 Recipient of SIFMA’s C&L Society’s Rauschman Award - Award will be presented at the C&L Annual Seminar in San Diego on March 13

Date 01/03/2023

SIFMA today announced Richard (Dick) Walker of King & Spalding as the 2023 recipient of the SIFMA Compliance & Legal Society’s Alfred Rauschman Award.
Ontario Securities Commission Announces New Members Of The Securities Proceedings Advisory Committee

Date 01/03/2023

The Ontario Securities Commission (OSC) is pleased to announce the updated membership of the Securities Proceedings Advisory Committee (SPAC).
Remarks By US Under Secretary For Domestic Finance Nellie Liang At The Atlantic Council On The Next Steps In The Future Of Money And Payments

Date 01/03/2023

Thank you to the organizers of today’s conference for inviting me to speak about next steps in the future of money and payments.
Ontario Securities Commission Takes Aim At Fraudsters Through Ramped Up Investor Education Initiatives

Date 01/03/2023

The Ontario Securities Commission (OSC) is helping people to avoid becoming victims of fraud and to make more informed financial decisions during Fraud Prevention Month.