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Securities News
   
Friday, November 16, 2018
 
Vol. 17, No. 428
 
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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
 

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

 
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IN THE NEWS

Industry Update

  1. Diversity & Inclusion Conference, Securities Industry and Financial Markets Association: Events, November 15, 2018

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PinHawk Corporate Legal NewzDigest
 

REGULATORY

CFTC

  1. CFTC Division of Enforcement Issues Report on FY 2018 Results, CFTC: Press Releases, November 15, 2018
  2. In CFTC Action, Federal Court Orders Hedge Fund and Its Principals To Pay More Than $1 Million for Fraud and Registration Violations, CFTC: Press Releases, November 15, 2018
Financial Industry Regulatory Authority

  1. Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records), FINRA: Rule Filings, November 15, 2018
  2. FINRA Foundation Names 2018 Recipients of First Annual Military Spouse Fellowship Program Awards, NASDR: Member Alerts, November 15, 2018
  3. FINRA Foundation Names 2018 Recipients of First Annual Military Spouse Fellowship Program Awards, FINRA: News Releases, November 15, 2018

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ALSO OF NOTE

News & Transactions

  1. Debevoise in A$3.3b AMP Life acquisitions - Vantage Asia, (Debevoise & Plimpton), November 16, 2018
  2. Dorsey's US-China Practice Group Continues Growth - Global Banking And Finance Review (press release), (Dorsey & Whitney), November 15, 2018
  3. White & Case advise on Australian solar farm project - Australasian Lawyer, (White & Case), November 15, 2018
  4. Mid Europa Partners' Acquisition of Urgent Cargus - Global Legal Chronicle (press release), (White & Case), November 15, 2018
  5. M&A wrap: Energizer, Armor All, STP, A/C Pro, Amazon, Acrosa, Sweetgreen - Mergers & Acquisitions, (Fried Frank), November 15, 2018
  6. Z Capital Partners and Affinity Gaming's Acquisition of Full House Resorts - Global Legal Chronicle (press release), (Sidley Austin), November 15, 2018
  7. Continental Acquires Kathrein's Automotive Division - Global Legal Chronicle (press release), (Shearman & Sterling), November 15, 2018
  8. Audax Private Equity and LLR Partners Complete the Sale of Numotion - Business Wire (press release), (Fried Frank), November 15, 2018
  9. AEW acquires luxury retail asset on 384 Saint Honoré Street in Paris - Property Magazine International, (Clifford Chance), November 15, 2018
  10. AIP to acquire Armstrong Flooring's wood flooring business for $100 mln - PE Hub (blog), (Skadden Arps), November 15, 2018
  11. Amy Mahon, Leading Mergers and Acquisitions Attorney, to Join ... - Business Wire (press release), (Simpson Thacher; Clifford Chance), November 15, 2018
  12. GFL Completes Merger with Waste Industries - waste360, (Simpson Thacher), November 15, 2018
  13. Johnson Controls Sells Power Solutions Division for $13.2B - Security Sales & Integration, (Simpson Thacher), November 15, 2018
  14. SVB to Acquire Healthcare Investment Bank Leerink Partners - Monitor Daily, (Sullivan & Cromwell; Skadden Arps), November 15, 2018

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