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Robinhood Markets, Inc. Reports August 2024 Operating Data
Date 09/09/2024
Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) today reported select monthly operating data for August 2024:
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SEC As EQCF: Statement On Public Company Accounting Oversight Board - Notice Of Filing Of Proposed Rules On A Firm’s System Of Quality Control And Related Amendments To PCAOB Standards, SEC Commissioner Hester M. Peirce, Sept. 9, 2024
Date 09/09/2024
Auditors play a critical role in maintaining healthy capital markets. Comprehensive, dynamic quality control systems help audit firms fulfill their mission. Troublingly high audit deficiency rates, though likely attributable to multiple causes, suggest that the five-year-long effort by the Public Company Accounting Oversight Board (“PCAOB” or “Board”) to revamp its outdated quality control standards was warranted. Getting the quality control standard right, however, would have required more time for additional pointed questions, comment, reflection, and revision. The PCAOB, now with the Commission’s assent, cut the process short and put out QC 1000, a standard that still needs work. Accordingly, I am unable to support it.
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SEC Charges Nine Investment Advisers In Ongoing Sweep Into Marketing Rule Violations, Firms Made Untrue Or Unsubstantiated Claims Or Lacked Required Disclosures
Date 09/09/2024
The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fact or testimonials, endorsements, or third-party ratings that lacked required disclosures. All nine firms have agreed to settle the SEC’s charges and to pay $1,240,000 in combined civil penalties.
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Remarks Before The 2024 AICPA & CIMA Conference On Banks & Savings Institutions: Accounting For Crypto-Asset Safeguarding Obligations—A Facts-Based Analysis, Paul Munter, SEC Chief Accountant, Sept. 9, 2024
Date 09/09/2024
Introduction
Thank you to the AICPA for inviting me to speak with you today. Let me begin by saying that I am here in my official capacity as the Chief Accountant of the U.S. Securities and Exchange Commission and the views I express here are my own and do not necessarily reflect those of the Commission, the Commissioners or other members of the staff.
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SEC Publishes Small Business Educational Resources About Income Statements And Balance Sheets
Date 09/09/2024
The Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation this week released new educational resources for small business owners that explore the anatomy of income statements and balance sheets.
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Nodal Exchange To Launch New Carbon And REC Contracts In Collaboration With IncubEx
Date 09/09/2024
Nodal Exchange and IncubEx announced today the planned launch of a slate of new environmental futures contracts.
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EACH’s Women In Clearing Series – Inspiration With Elena Tonetto, EACH
Date 09/09/2024
Following the successful launch of the Women in Clearing Network, in March 2024 we launched EACH’s Women in Clearing Series, an initiative with the objective of featuring a key female leader on a regular basis to inspire other professionals in the industry.
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Modernizing Audit Firm Quality Control Standards, SEC Commissioner Jaime Lizárraga, Sept. 9, 2024
Date 09/09/2024
The Sarbanes-Oxley Act, enacted unanimously in the U.S. Senate and nearly unanimously in the U.S. House, explicitly required the PCAOB (“Board”) to establish, and modify, quality control (“QC”) standards. This important law required the Board to establish expert advisory boards to make recommendations on QC standards. When registering with the Board, auditing firms are required to include a statement on QC policies. And when inspecting audit firms, the Board is required to evaluate QC systems.
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SEC Approves A New PCAOB Quality Control Standard - New Standard Is Designed To Drive Registered Public Accounting Firms To Significantly Improve Their Quality Control Systems
Date 09/09/2024
The Securities and Exchange Commission today approved the Public Company Accounting Oversight Board’s (PCAOB) new quality control (QC) standard and related amendments to its standards, rules, and forms.
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Euronext Announces Volumes For August 2024
Date 09/09/2024
Euronext, the leading pan-European market infrastructure, today announced trading volumes for August 2024.
