Securities News Sample

Legal and compliance professionals need to have up-to-date information on the securities industry. Read the latest news from stock exchanges, regulatory agencies, courts, and more.

The Securities News is published daily. This sample issue is at least two days old.


	Wednesday, March 11, 2026	Vol. 21, No. 1319	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

NFA orders Connecticut-based Dorset Fund Management LLC to withdraw from and not reapply for NFA membership, National Futures Association: News Releases, March 11, 2026
NASAA Launches Comprehensive Online IAR Continuing Education Course Catalog to Streamline Compliance and Professional Development, North American Securities Administration Association: Top Stories, March 10, 2026

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REGULATORY

Financial Industry Regulatory Authority

UPC #30-26 - CURO Group Holdings Corp. (CUROQ), FINRA: Advisories, March 10, 2026
UPC #29-26 - First Horizon Corp (FHNPL), FINRA: Advisories, March 10, 2026

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EXCHANGES

NYSE

Proposal to amend Rule 5.32-O, Rule 5.35-O and Rule 6.8-O in connection with options overlying the following Exchange-Traded Fund Shares, as applicable: Grayscale Bitcoin Trust, Grayscale Bitcoin Mini Trust, Bitwise Bitcoin ETF, iShares Bitcoin Trust, Fidelity Wise Origin Bitcoin Fund, ARK21Shares Bitcoin ETF, Grayscale Ethereum Trust ETF, Grayscale Ethereum Mini Trust ETF, Bitwise Ethereum ETF, iShares Ethereum Trust ETF, and Fidelity Ethereum Fund., New York Stock Exchange: Rule Proposals, March 10, 2026
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges, New York Stock Exchange: Rule Proposals, March 10, 2026
Casey Securities LLC, New York Stock Exchange: Disciplinary Actions, March 10, 2026

AMEX

Euronext announces March 2026 annual review results of the AEX® Family, March 10, 2026

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