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  • Statement On Director Dalia Blass Departing From The Division Of Investment Management, SEC Commissioner Elad L. Roisman

    Date 02/02/2021

    Dalia Blass has led the Division of Investment Management in updating many of the most important and far-reaching SEC regulations affecting investment advisers and investment companies today. She and her team have also engaged in market monitoring, as well as industry and investor outreach efforts, on an unprecedented scale. Director Blass’s commitment to investors is unparalleled, as is her dedication to this agency and her team in the Division of Investment Management. I am incredibly grateful for all she has accomplished during her tenure here and the legacy she leaves with us in the Division of Investment Management.

  • Nasdaq January 2021 Volumes

    Date 02/02/2021

    Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for January 2021, on its investor relations website.

  • Readout: US Secretary Of The Treasury Janet L. Yellen’s Call With Mexican Finance Minister, Arturo Herrera Gutiérrez

    Date 02/02/2021

    Earlier today, Secretary of the Treasury Janet L. Yellen spoke with Mexican Finance Minister Arturo Herrera Gutiérrez. Secretary Yellen expressed her desire to continue the tradition of close U.S.-Mexico coordination on economic and security issues. She also outlined her priorities, including responding effectively to the COVID-19 pandemic, supporting a robust economic recovery, fighting inequality, and forcefully addressing the threat of climate change. The Secretary noted that Mexico can be a strong partner in accomplishing these priorities, and looked forward to further engagement on shared interests, including combatting illicit finance, and facilitating economic development in Central America.

  • SEC Charges Former Executives Of San Francisco Bay Area Company With Accounting Violations

    Date 02/02/2021

    The Securities and Exchange Commission today charged Joseph Jackson and Colm Callan, respectively the former CEO and CFO of WageWorks Inc. with making false and misleading statements and omissions, including to the company’s auditors, that resulted in the company’s improper recognition of revenue related to a contract with a large public-sector client. The settlements with both individuals include reimbursement of certain incentive-based compensation from the period during which the misconduct took place.

  • CFTC Financial Data For Futures Commission Merchants Update

    Date 02/02/2021

    Futures commission merchants (FCMs) and retail foreign exchange dealers (RFEDs) must file monthly financial reports with the CFTC's Division of Swap Dealer and Intermediary Oversight (DSIO) within 17 business days after the end of the month. Selected financial information from these reports is published below. The most recent month-end information generally is added within 12 business days after FCMs and RFEDs file their reports, but occasionally may be added later. For example:  The 17th business day filing “due date" for February 28, 2015 financial reports was March 25, 2015.  The 12 business day target for posting these data was April 10, 2015.

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