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.


	Thursday, March 16, 2023	Vol. 21, No. 569	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 Vero Beach, Fla. introducing broker Ocean Solutions LLC to pay a $140,000 fine, National Futures Association: News Releases, March 16, 2023

Top

REGULATORY

CFTC

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
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

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

Top

EXCHANGES

NYSE

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
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
Maxim Group, LLC, New York Stock Exchange: Disciplinary Actions, March 15, 2023
88 FR 16071 (3/15/23), New York Stock Exchange: Rule Proposals, March 15, 2023

Top

LITIGATION

State Attorney General Releases

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

Top

PinHawk LLC does not warrant that the information in this email will meet any specific requirements nor that it will be error free or uninterrupted; nor shall PinHawk LLC be liable for any indirect, incidental or consequential damages (including lost data, information or profits) sustained or incurred in connection with the use of, operation of, or inability to use the information contained herein. By reading this email you agree to the Terms and Conditions.

Contact: PinHawk LLC, 104 Old Kings Highway North, Darien, CT 06820, tel. 203-202-9495 ext. 104 or comments@pinhawk.com.

Don't let this important email be caught by a spam filter, ensure delivery to your inbox.