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  • Treasury International Capital Data for March

    Date 15/05/2024

    The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for March 2024.  The next release, which will report on data for April 2024, is scheduled for June 18, 2024. 

  • Robinhood Markets, Inc. Reports April 2024 Operating Data

    Date 15/05/2024

    Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) today reported select monthly operating data for April 2024:

  • Ontario Securities Commission Awards $300,000 To Whistleblower Who Uncovered Complex Misconduct

    Date 15/05/2024

    The Ontario Securities Commission (OSC) has issued an award of $300,000 to a whistleblower who provided significant and detailed information to the OSC that helped to identify misconduct. The activity of the firm was not consistent with their regulatory obligations and would have been hard to detect by the OSC without the whistleblower coming forward.

  • SEC Staff Publishes New Investment Adviser Statistics Report

    Date 15/05/2024

    The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed by investment advisers on Form ADV. The new report, which will be updated on an annual basis, is designed to give the public a view into the investment advisory industry, with insights into areas such as business activities, client composition, and the types of funds advised. The report shows trends over time.

  • Fostering A Healthy “Tone At The Top” At Audit Firms, Paul Munter, SEC Chief Accountant, May 15, 2024

    Date 15/05/2024

    Audit firms are private businesses with the same legitimate interest in making a profit that all private businesses have. But audit firms have also been entrusted to be essential gatekeepers in maintaining the integrity of our capital markets. The leaders of audit firms, and the tone that they set, play a central role in ensuring that professionals within audit firms do not sacrifice integrity and professionalism for profit and growth.