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Securities News
   
Tuesday, October 3, 2017
 
Vol. 17, No. 196
 
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 IN THE NEWS
Mergerstat: M&A News
Industry Update
 REGULATORY
SEC
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.

 
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IN THE NEWS

Industry Update

  1. Notice to Members I-17-19, National Futures Association: Notices to Members, October 3, 2017

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REGULATORY

SEC

  1. Martin T. Cantu, Securities & Exchange Commission: Administrative Proceedings, October 2, 2017
  2. Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Permit Affiliated Member Organizations that are Supplemental Liquidity Providers, SEC: Selected NYSE Rulemaking, October 2, 2017
  3. Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees and Charges Relating to the Listing Fees Applicable to Exchange Traded Products, SEC: NYSE Arca Rulemaking, October 2, 2017
  4. Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect a Change to the Administrator for the London Bullion Market Association Silver Price to ICE Benchmark Administration, SEC: NYSE Arca Rulemaking, October 2, 2017
  5. Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Pursuant to NYSE Arca Rule 5.2-E(j)(3) Twelve Series of Investment Company Units, SEC: NYSE Arca Rulemaking, October 2, 2017
  6. Maroof Miyana, Securities & Exchange Commission: Administrative Proceedings, October 2, 2017
  7. World Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection, Securities & Exchange Commission: Press Releases, October 2, 2017
  8. Chairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System, Securities & Exchange Commission: Press Releases, October 2, 2017
  9. October 2, 2017, Securities & Exchange Commission: What's New, October 2, 2017
  10. September 29, 2017, Securities & Exchange Commission: What's New, October 2, 2017
Financial Industry Regulatory Authority

  1. FINRA Promotes World Investor Week 2017, NASDR: Member Alerts, October 2, 2017
  2. FINRA Promotes World Investor Week 2017, FINRA: News Releases, October 2, 2017

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EXCHANGES

NYSE

  1. Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules to Establish a Rule Numbering Framework in Connection with the Re-Launch of Trading on the Exchange, New York Stock Exchange: Rule Proposals, October 2, 2017
  2. Intercontinental Exchange Announces Record Notional Cleared for Credit Default Swaps; Launch of New Single Name Contracts on ICE Clear Credit, Intercontinental Exchange: Press Releases, October 2, 2017
AMEX

  1. Intercontinental Exchange Announces Record Notional Cleared for Credit Default Swaps; Launch of New Single Name Contracts on ICE Clear Credit, October 2, 2017
NASDAQ

  1. Nasdaq Welcomes ANGI Homeservices Inc. (Nasdaq: ANGI) to The Nasdaq Stock Market, October 2, 2017

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LITIGATION

Class Actions

  1. Jordan A. Thomas on how only whistleblowing brings lasting change, Labaton Sucharow: Press Releases, October 2, 2017
  2. Jordan A. Thomas says the cap of the OSC's proposed whistleblower program is too low, Labaton Sucharow: Press Releases, October 2, 2017
  3. Jordan A. Thomas comments on Ontario Securities Commission's proposed cap on whistleblower awards, Labaton Sucharow: Press Releases, October 2, 2017
  4. Jordan A. Thomas on the stakes for corporate America in Digital Realty Trust v. Somers, Labaton Sucharow: Press Releases, October 2, 2017

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ALSO OF NOTE

News & Transactions

  1. KPMG Hires WilmerHale Alum as General Counsel | Big Law Business - Bloomberg Big Law Business (blog), (Wilmer Hale), October 3, 2017
  2. Morgan Lewis and Stephenson Harwood hire from US rivals - The Lawyer (registration), (Baker Botts; Morgan Lewis), October 3, 2017
  3. Thompson & Knight Welcomes New York Restructuring Partner - Markets Insider, (Thompson & Knight), October 2, 2017
  4. Tonya T. Robinson Named General Counsel Of KPMG LLP - Markets Insider, (Wilmer Hale), October 2, 2017
  5. The verdict on NYC's top real estate law firms - The Real Deal Magazine, (Skadden Arps; Fried Frank; Kramer Levin), October 2, 2017
  6. King & Spalding's Chicago Office Expands Litigation and Investigations Expertise with Addition of Two Partners ... - Digital Journal, (King & Spalding), October 2, 2017
  7. Arent Fox Welcomes High Profile Prosecutor and Former Eastern District of New York US Attorney Robert L. Capers in ... - Business Wire (press release), (Arent Fox), October 2, 2017
  8. Corporate Partner David Gershon Joins Sheppard Mullin San Francisco - SYS-CON Media (press release), (Manatt Phelps), October 2, 2017
  9. Blank Rome Adds Prominent Insurance Recovery Team in Los Angeles, Led by Linda Kornfeld - Business Wire (press release), (Dickstein Shapiro; Blank Rome), October 2, 2017

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