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Securities News
   
Wednesday, October 13, 2021
 
Vol. 21, No. 203
 
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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.

 
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REGULATORY

CFTC

  1. 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

  1. 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
  2. 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

  1. Human Trafficking Bust: Salt Lake and Davis Counties, Attorney General: Utah, October 12, 2021
  2. 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

  1. PharmaCann and LivWell Enlightened Health Announce Planned Merger - WSIL TV, (Husch Blackwell; Perkins Coie), October 12, 2021
  2. Sullivan & Cromwell, Wachtell guide Columbia-Umpqua bank union - Reuters, (Sullivan & Cromwell; Wachtell Lipton), October 12, 2021
  3. Slinger Bag To Acquire PlaySight - SGB Media, (Dechert), October 12, 2021
  4. 3Cloud Acquires Polaris Solutions - WKYT, (Kirkland & Ellis), October 12, 2021
  5. 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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