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Securities News
   
Wednesday, June 21, 2017
 
Vol. 17, No. 122
 
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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. FIA statement on CFTC Commissioner Sharon Bowen’s resignation, FIA Industry Press Center, June 20, 2017

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PinHawk Corporate Legal NewzDigest
 

REGULATORY

SEC

  1. Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance, Securities & Exchange Commission: Press Releases, June 20, 2017
  2. Kelly L. Gibson Named as Associate Regional Director for Enforcement in the SEC’s Philadelphia Office, Securities & Exchange Commission: Press Releases, June 20, 2017
  3. Kathryn A. Pyszka Named as Associate Regional Director for Enforcement in the SEC’s Chicago Office, Securities & Exchange Commission: Press Releases, June 20, 2017
  4. Arista Power, Inc., et al., Securities & Exchange Commission: Litigation Releases, June 20, 2017
  5. Nuveen Fund Advisors, LLC, SEC: Investment Management: Staff No-Action Letters, June 20, 2017
  6. Vanilla Sky, S.A., Securities & Exchange Commission: Administrative Proceedings, June 20, 2017
  7. Sandias Azucaradas CR, S.A., Securities & Exchange Commission: Administrative Proceedings, June 20, 2017
  8. June 20, 2017, Securities & Exchange Commission: What's New, June 20, 2017
  9. June 19, 2017, Securities & Exchange Commission: What's New, June 20, 2017
CFTC

  1. Statement of Acting Chairman Chris Giancarlo regarding the announced resignation of Sharon Y. Bowen as Commissioner of the CFTC, CFTC: Speeches & Testimony, June 20, 2017
  2. Closing Statement of Commissioner Sharon Bowen before the Market Risk Advisory Committee, CFTC: Speeches & Testimony, June 20, 2017
  3. CFTC Unanimously Approves Revisions to Delegated Authorities and Technical Amendments, CFTC: Press Releases, June 20, 2017
  4. Statement of Acting Chairman J. Christopher Giancarlo before the Market Risk Advisory Committee Meeting, CFTC: Speeches & Testimony, June 20, 2017

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PinHawk Law Firm News and Press
 
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EXCHANGES

NASDAQ

  1. Nasdaq Conducts Annual Election for Subsidiary Board Directors, June 20, 2017
  2. Nasdaq's BWise and KPMG Align to Provide Comprehensive GRC Solutions, June 20, 2017

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LITIGATION

State Attorney General Releases

  1. AG Paxton Calls on California Insurance Commissioner to Stop Threats to Insurance Companies or Risk Legal Action, Attorney General: Texas, June 20, 2017
  2. Attorney General Ken Paxton Joins 20-State Coalition Urging EPA to Respect States in WOTUS Review, Attorney General: Texas, June 20, 2017
Class Actions

  1. In re The Hain Celestial Group Inc. Securities Litigation, Labaton Sucharow: Cases, June 20, 2017

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ALSO OF NOTE

News & Transactions

  1. Wealthsource Partners LLC Buys New Stake in Fastenal Company (FAST) - Sports Perspectives, (Dorsey & Whitney), June 21, 2017
  2. People: New hires for Orrick in HK, Xero in SG & StanChart in Asean; Sequoia loses India exec - DEALSTREETASIA, (Davis Polk; Orrick), June 21, 2017
  3. Law firm bolsters Birmingham team with new hire - Insider Media, (Squire Patton Boggs), June 21, 2017
  4. King & Spalding Recruits Finance Experts Mark Wesseldine and Fergus Wheeler As Partners in London - Markets Insider, (King & Spalding), June 21, 2017
  5. SnapAV to be Acquired by Hellman & Friedman - PR Newswire (press release), (Paul Weiss), June 20, 2017
  6. Former White House Counsel Jack Quinn Joins Manatt in Washington, DC - Digital Journal, (Manatt Phelps), June 20, 2017
  7. Fried Frank Adds London Real Estate Partners Darren Rogers and Patrick Williams - PR Newswire (press release), (Fried Frank), June 20, 2017
  8. AEG Invests in Immortals E-Sports Franchise - Hollywood Reporter, (Debevoise & Plimpton), June 20, 2017

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