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Securities News Sample

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	Wednesday, April 24, 2024	Vol. 21, No. 847	powered by

IN THE NEWS

Industry Update

REGULATORY

CFTC
FINRA

EXCHANGES

NYSE
AMEX
NASDAQ

LITIGATION

Federal Courts
State AG
Class Actions

ALSO OF NOTE

News & Transactions

To see archives click on a section title on the right.

IN THE NEWS

Industry Update

SIFMA Member Briefing: The Final DOL Fiduciary Rule, Securities Industry and Financial Markets Association: Events, April 23, 2024

Top

REGULATORY

CFTC

Statement of Chairman Rostin Behnam Regarding the CFTC’s Final Rule on Swap Confirmation Requirements for SEFs, CFTC: Speeches & Testimony, April 23, 2024
Statement of Commissioner Kristin N. Johnson Regarding Final Rulemaking on Swap Confirmation Requirements for Swap Execution Facilities, CFTC: Speeches & Testimony, April 23, 2024
Statement of Commissioner Summer K. Mersinger In Support of Final Rulemaking on Confirmation Requirements for Swap Execution Facilities, CFTC: Speeches & Testimony, April 23, 2024
Statement of Commissioner Caroline D. Pham in Support of Swap Execution Facilities (SEF) Confirmation Requirements Final Rule, CFTC: Speeches & Testimony, April 23, 2024
CFTC Approves Final Rules on Swap Confirmation Requirements for SEFs, CFTC: Press Releases, April 23, 2024

Top

EXCHANGES

NYSE

Proposal to revise Rule 10.16 to adopt streamlined sanction guidelines for its options marketplace based on NYSE American LLC Rule 601 and make certain conforming changes., New York Stock Exchange: Rule Proposals, April 23, 2024

Top

LITIGATION

State Attorney General Releases

Attorney General Mayes Announces Court Approval of Receivership at Heritage Village, Attorney General: Arizona, April 23, 2024

Top

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