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Securities News
   
Wednesday, December 2, 2020
 
Vol. 17, No. 956
 
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 IN THE NEWS
Industry Update
 REGULATORY
CFTC
FINRA
 EXCHANGES
NYSE
AMEX
NASDAQ
 LITIGATION
Federal Courts
State AG
Class Actions
 ALSO OF NOTE
News & Transactions
 

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IN THE NEWS

Industry Update

  1. SII 2021 – Graduate Listing, Securities Industry and Financial Markets Association: Events, December 1, 2020
  2. SII 2021 – Graduate Virtual Calendar, Securities Industry and Financial Markets Association: Events, December 1, 2020

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PinHawk Law Firm News and Press
 

REGULATORY

CFTC

  1. CFTC to Hold an Open Commission Meeting on December 8, CFTC: Press Releases, December 1, 2020
  2. CFTC Division of Enforcement Issues Annual Report, CFTC: Press Releases, December 1, 2020

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PinHawk Corporate Legal NewzDigest
 

EXCHANGES

NYSE

  1. Barclays Capital Inc., New York Stock Exchange: Disciplinary Actions, December 1, 2020
  2. Proposal to modify the NYSE Arca Options Fee Schedule regarding the criteria to qualify for a Market Maker Incentive For Penny Issues. The Exchange proposes to implement the fee change effective December 1, 2020., New York Stock Exchange: Rule Proposals, December 1, 2020
  3. Proposal to amend its Price List to extend the Transition Period for member organizations to transition to the utilization of ports that connect to the Exchange using Pillar technology extend the Decommission Period that begins once the Transition Period ends; and extend the effective date that the Exchange would prorate the monthly fee for ports activated on or after July 1, 2019, effective December 1, 2020., New York Stock Exchange: Rule Proposals, December 1, 2020
  4. ICE Sets Exchange-wide Open Interest Record, Intercontinental Exchange: Press Releases, December 1, 2020
  5. Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Perth Mint Physical Gold ETF, New York Stock Exchange: Rule Proposals, December 1, 2020
AMEX

  1. Nordic Aqua Partners admitted to trading, December 2, 2020
  2. Oslo Børs transitions Norwegian listed companies to Euronext's proprietary trading platform Optiq®, December 2, 2020

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LITIGATION

State Attorney General Releases

  1. Attorney General James Announces Final Rules to Modernize and Streamline Securities Filings in NYS, Attorney General: New York, December 1, 2020
  2. Attorney General Reyes Statement on the Passing of Judge Dee Benson, Attorney General: Utah, December 1, 2020
  3. Follow-up report on child sex abuse by Catholic priests uncovers additional 46 claims of abuse in Denver and Pueblo dioceses over last 70 years, Attorney General: Colorado, December 1, 2020

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ALSO OF NOTE

News & Transactions

  1. Collectors Universe to be Acquired by Investor Group for Approximately $700 Million - CoinWeek, (Wilson Sonsini), December 2, 2020
  2. Riverside Partners Completes Merger of Allied Dental with PG Dental - PRNewswire, (Choate Hall), December 2, 2020
  3. Alston & Bird taps Cadwalader for trio of structured finance lawyers - The Global Legal Post, (Cadwalader Wickersham; Alston & Bird), December 2, 2020
  4. Formentor Capital's €12 Million Acquisition of Excom – Global Legal Chronicle - Global Legal Chronicle, (DLA Piper), December 2, 2020
  5. Intel Corporation's Acquisition of SigOpt - Global Legal Chronicle, (O'Melveny & Myers), December 2, 2020
  6. CSX' Acquisition of Pan Am Railways in New England - Global Legal Chronicle, (Davis Polk), December 2, 2020
  7. IHS Markit's Merger With S&P Global – Global Legal Chronicle - Global Legal Chronicle, (Davis Polk), December 2, 2020
  8. Sysnet Global Solutions Acquires the Managed Compliance Solutions (MCS) Division of ControlScan, Inc. to Boost SMB Security Worldwide - Business Wire, (Sidley Austin), December 2, 2020
  9. Mayer Brown hires five-strong German competition team from Baker McKenzie - The Global Legal Post, (Mayer Brown), December 2, 2020
  10. Enviva Partners' Acquisition of Georgia Biomass – Global Legal Chronicle - Global Legal Chronicle, (K & L Gates), December 2, 2020
  11. IN BRIEF: Latham leads law firm trio advising Facebook's Kustomer buy - Reuters, (Weil Gotshal; Latham & Watkins), December 2, 2020
  12. Vector Capital to Acquire Mood Media - StreetInsider.com, (Paul Hastings), December 1, 2020
  13. Blackstone's Acquisition of DCI – Global Legal Chronicle - Global Legal Chronicle, (Simpson Thacher), December 1, 2020
  14. New York private equity firm acquires Angstrom Technology - grbj.com, (McGuireWoods), December 1, 2020
  15. Ropes & Gray hires second Kirkland & Ellis partner in London this year - The Global Legal Post, (Weil Gotshal), December 1, 2020
  16. McDermott Advises Kaiser Aluminum Corporation - Citybizlist, (McDermott Will), December 1, 2020

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