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, October 13, 2021	Vol. 21, No. 203	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

Federal Court Orders Suffolk New York Man and His Company to Pay $370,000 for Commodity Pool Fraud and Misappropriation, CFTC: Press Releases, October 12, 2021

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EXCHANGES

NYSE

Proposal to reformat the Tier rates section of the NYSE Arca Equities Fees and Charges applicable to securities priced at or above $1.00 and the rates applicable to securities priced below $1.00 without making any substantive changes to the current fees and credits for each group of securities. The Exchange proposes to implement the proposed rule change effective immediately., New York Stock Exchange: Rule Proposals, October 12, 2021
Proposing to extend the current pilot program related to Rule 7.10-E to the close of business on April 20, 2022., New York Stock Exchange: Rule Proposals, October 12, 2021

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LITIGATION

State Attorney General Releases

Human Trafficking Bust: Salt Lake and Davis Counties, Attorney General: Utah, October 12, 2021
September Safe2Tell report shows over 100% increase in tips when compared to September 2020, Attorney General: Colorado, October 12, 2021

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ALSO OF NOTE

News & Transactions

PharmaCann and LivWell Enlightened Health Announce Planned Merger - WSIL TV, (Husch Blackwell; Perkins Coie), October 12, 2021
Sullivan & Cromwell, Wachtell guide Columbia-Umpqua bank union - Reuters, (Sullivan & Cromwell; Wachtell Lipton), October 12, 2021
Slinger Bag To Acquire PlaySight - SGB Media, (Dechert), October 12, 2021
3Cloud Acquires Polaris Solutions - WKYT, (Kirkland & Ellis), October 12, 2021
Greenberg Traurig Attorneys Represent Prolec GE Transformers, Inc., in Financing Transactions Related to Its $645M Acquisition of SPX Transformer Solutions, Inc. - Yahoo Finance, (Greenberg Traurig), October 12, 2021

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