News Centre

SEC Charges VMware With Misleading Investors By Obscuring Financial Performance

Date 13/09/2022

The Securities and Exchange Commission today charged VMware Inc. for misleading investors about its order backlog management practices, which enabled the Palo Alto, California-based technology company to push revenue into future quarters by delaying product deliveries to customers, concealing the company’s slowing performance relative to its projections.

PNGX Receives Securities Commission Approval Of Debt Market Rules

Date 12/09/2022

PNGX, Papua New Guinea’s national stock exchange, has received the Securities Commission’s approval of the new PNGX Debt Market Rules. 

New Zealand Financial Markets Authority: KiwiSaver Members Showing Mettle Against Market Volatility, Have More Interest In Annual Statements

Date 12/09/2022

The proportion of KiwiSaver members engaging with their annual statements has lifted to a new high of 80% and most members say continuing contributions is a priority, despite ongoing market volatility.

Nasdaq Announces End Of Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date August 31, 2022

Date 12/09/2022

At the end of the settlement date of August 31, 2022, short interest in 3,449 Nasdaq Global Market^SM securities totaled 10,037,516,423 shares compared with 10,108,978,643 shares in 3,454 Global Market issues reported for the prior settlement date of August 15, 2022. The end of August short interest represent 3.13 days average daily Nasdaq Global Market share volume for the reporting period, compared with 2.71 days for the prior reporting period.

NYSE Group Consolidated Short Interest Report

Date 12/09/2022

NYSE today reported short interest as of the close of business on the settlement date of August 31, 2022.

Robinhood Markets, Inc. Reports August 2022 Operating Data

Date 12/09/2022

Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) today reported selected monthly operating data for August 2022:

• Net Cumulative Funded Accounts (NCFA) at the end of August were 22.9 Million, unchanged from the end of July 2022. Monthly Active Users (MAU) at the end of August were 13.3 Million, up 0.1 Million from the end of July 2022.
• Assets Under Custody (AUC) at the end of August were $71.0 Billion, down 5% from the end of July 2022. Net Deposits were $0.8 Billion in August, translating to a 12% annualized growth rate relative to July 2022 AUC. Over the last twelve months, Net Deposits were $17.6 Billion, translating to an annual growth rate of 17% relative to August 2021 Assets Under Custody.
• Notional Trading Volumes - which are the primary driver of transaction revenues - were mostly up in August from July 2022. Equities were $66.0 Billion (up 35%), Option contracts were 89.9 Million (up 34%), and Cryptocurrencies were $5.3 Billion (down 2%).

Office Of The Comptroller Of The Currency Announces Chief Climate Risk Officer

Date 12/09/2022

The Office of the Comptroller of the Currency (OCC) today announced the appointment of Dr. Yue (Nina) Chen as Chief Climate Risk Officer.

FINRA Fines BofA Securities, Inc. $5 Million For Large Options Position Reporting Failures - Firm Failed To Report Over-The-Counter Options Positions In More Than 7.4 Million Instances

Date 12/09/2022

FINRA announced today that it has fined BofA Securities Inc. (BofAS) $5 million for failing to report over-the-counter (OTC) options positions to the Large Options Positions Reporting system (LOPR) in more than 7.4 million instances, including 26 positions that were over the applicable OTC position limit, and related supervisory failures.

Remarks By Chief Lynn Malerba At Swearing In Ceremony For United States Treasurer

Date 12/09/2022

Kutapatotamawush (thank you) Secretary Yellen for your very kind remarks. I thank you for your faith in me.  What the Secretary neglected to say was that she is the first woman to serve as the Secretary of Treasury and this is the first time two women are signing the currency.  Now that is something to celebrate!

CFTC Swaps Report Update

Date 12/09/2022

CFTC's Weekly Swaps Report has been updated, and is now available.