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Securities News
   
Thursday, March 16, 2023
 
Vol. 21, No. 569
 
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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.

 
  PinHawk LLC
 

IN THE NEWS

Industry Update

  1. NFA orders Vero Beach, Fla. introducing broker Ocean Solutions LLC to pay a $140,000 fine, National Futures Association: News Releases, March 16, 2023

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PinHawk Corporate Legal NewzDigest
 

REGULATORY

CFTC

  1. CFTC Unanimously Approves Proposed Rule to Codify No-Action Position Regarding the Treatment of Separate Accounts of a Single Customer by Clearing Members, CFTC: Press Releases, March 15, 2023
  2. Keynote of Chairman Rostin Behnam at the FIA Boca 2023 International Futures Industry Conference, Boca Raton, Florida, CFTC: Speeches & Testimony, March 15, 2023
Financial Industry Regulatory Authority

  1. Report From FINRA Board of Governors Meeting – March 2023, NASDR: Member Alerts, March 15, 2023
  2. March 2023 Board Meeting, FINRA: News Releases, March 15, 2023

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PinHawk Law Firm News and Press
 

EXCHANGES

NYSE

  1. Proposal to modify the NYSE Arca Options Fee Schedule regarding credits for Qualified Contingent Cross transactions, fees applicable to routed orders, and certain Market Maker incentives. The Exchange proposes to implement the fee changes effective March 15, 2023., New York Stock Exchange: Rule Proposals, March 15, 2023
  2. Proposal to modify the NYSE American Options Fee Schedule regarding routing fees and Floor Broker rebates and to delete text relating to discontinued programs. The Exchange proposes to implement the fee change effective March 15, 2023., New York Stock Exchange: Rule Proposals, March 15, 2023
  3. Maxim Group, LLC, New York Stock Exchange: Disciplinary Actions, March 15, 2023
  4. 88 FR 16071 (3/15/23), New York Stock Exchange: Rule Proposals, March 15, 2023

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LITIGATION

State Attorney General Releases

  1. Prosecutors secure 40 convictions in NorthPak gang trial, Attorney General: Delaware, March 15, 2023
  2. 2023 Delaware Finalists Announced for White House STEM Recognition, Attorney General: Delaware, March 15, 2023
  3. March 15, 2023 - Attorney General Miyares Provides New Ballistics Technology for 10 Ceasefire and Nearby Cities, Attorney General: Virginia, March 15, 2023
  4. Attorney General\u2019s Office files finalized Colorado Privacy Act rules, Attorney General: Colorado, March 15, 2023
  5. Attorney General James Stops Discriminatory Practices at Long Island Real Estate Brokerage, Attorney General: New York, March 15, 2023
  6. DNREC to Seek Community Water Project Proposals, Attorney General: Delaware, March 15, 2023
  7. | Date Posted: Tuesday, March 14, 2023, Attorney General: Delaware, March 15, 2023

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