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Securities News Sample

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	Monday, November 18, 2024	Vol. 21, No. 990	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.

REGULATORY

CFTC

CFTC Staff Issues an Advisory Related to Clearing of Options on Spot Commodity Exchange Traded Funds, CFTC: Press Releases, November 15, 2024
Customer Alert Regarding CFTC v. Traders Domain FX Ltd, CFTC: Enforcement Actions, November 15, 2024
CFTC Awards $4M to Two Whistleblowers, CFTC: Enforcement Actions, November 15, 2024

Financial Industry Regulatory Authority

UPC # 84-24 - SunPower Corporation, FINRA: Advisories, November 15, 2024
UPC # 83-24 - SAS AB, FINRA: Advisories, November 15, 2024
Holiday Reminder Regarding TRACE Market Data, FINRA: News Releases, November 15, 2024

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EXCHANGES

NYSE

Proposal to modify the NYSE Arca Options Fee Schedule regarding incentives available to Market Makers. The Exchange proposes to implement the fee change effective November 15, 2024., New York Stock Exchange: Rule Proposals, November 15, 2024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for the NYSE Arca Aggregated Lite Data Feed, New York Stock Exchange: Rule Proposals, November 15, 2024
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Rule 7.13-E to Remove References to the Chair of the Board, New York Stock Exchange: Rule Proposals, November 15, 2024

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LITIGATION

State Attorney General Releases

Attorney General Bonta Secures Grand Jury Indictment Against 14 Defendants in $3.6 Million Mortgage Fraud Scheme, Attorney General: California, November 15, 2024
Attorney General Mayes Addresses Arizona Supreme Court Ruling in Gilmore v. Gallego, Encourages Cities and Towns to Work with Public Employee Unions, Attorney General: Arizona, November 15, 2024

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