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.


	Monday, September 25, 2023	Vol. 21, No. 700	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

Statement of Commissioner Caroline D. Pham Regarding Political Event Contracts, CFTC: Speeches & Testimony, September 22, 2023
Statement of Commissioner Summer K. Mersinger Regarding Extension of Staff No-Action Position Regarding Ownership and Control Reports, CFTC: Speeches & Testimony, September 22, 2023
Dissenting Statement of Commissioner Summer K. Mersinger Regarding Order on Certified Derivatives Contracts with Respect to Political Control of the U.S. Senate and House of Representatives, CFTC: Speeches & Testimony, September 22, 2023
Statement of Chairman Rostin Behnam Regarding CFTC Order to Prohibit Kalshi Political Control Derivatives Contracts, CFTC: Speeches & Testimony, September 22, 2023
CFTC Staff Extends No-Action Position for Certain Reporting Obligations Under the Ownership and Control Reports Final Rule, CFTC: Press Releases, September 22, 2023
CFTC Disapproves KalshiEX LLC’s Congressional Control Contracts, CFTC: Press Releases, September 22, 2023
CFTC Orders California Resident to Pay $300,000 for a Fictitious Sales Scheme, CFTC: Press Releases, September 22, 2023

Financial Industry Regulatory Authority

FINRA Cybersecurity Advisory - SEC Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies (Exchange Act Release No. 97989), FINRA: News Releases, September 22, 2023

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EXCHANGES

NYSE

88 FR 65415 (9/22/23), New York Stock Exchange: Rule Proposals, September 24, 2023
Proposal to amend the NYSE Arca Equities Fees and Charges to adopt a definition of Retail Orders. The Exchange is not proposing any change to fees and credits applicable to the Retail Orders., New York Stock Exchange: Rule Proposals, September 22, 2023
Proposal to amend the NYSE Arca Options Fee Schedule regarding the Options Regulatory Fee ., New York Stock Exchange: Rule Proposals, September 22, 2023

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LITIGATION

State Attorney General Releases

Delaware Coastal Storm Response, Attorney General: Delaware, September 23, 2023
Attorney General Bonta Vows to Appeal District Court Decision on Large-Capacity Magazines; Will Continue to Defend California’s Commonsense Firearm Laws, Attorney General: California, September 22, 2023
Attorney General Phil Weiser announces settlement with Broomfield skilled nursing facility over 2021 data breach, Attorney General: Colorado, September 22, 2023

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