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Securities News
   
Monday, September 25, 2023
 
Vol. 21, No. 700
 
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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 Law Firm News and Press
 

REGULATORY

CFTC

  1. Statement of Commissioner Caroline D. Pham Regarding Political Event Contracts, CFTC: Speeches & Testimony, September 22, 2023
  2. Statement of Commissioner Summer K. Mersinger Regarding Extension of Staff No-Action Position Regarding Ownership and Control Reports, CFTC: Speeches & Testimony, September 22, 2023
  3. 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
  4. Statement of Chairman Rostin Behnam Regarding CFTC Order to Prohibit Kalshi Political Control Derivatives Contracts, CFTC: Speeches & Testimony, September 22, 2023
  5. CFTC Staff Extends No-Action Position for Certain Reporting Obligations Under the Ownership and Control Reports Final Rule, CFTC: Press Releases, September 22, 2023
  6. CFTC Disapproves KalshiEX LLC’s Congressional Control Contracts, CFTC: Press Releases, September 22, 2023
  7. CFTC Orders California Resident to Pay $300,000 for a Fictitious Sales Scheme, CFTC: Press Releases, September 22, 2023
Financial Industry Regulatory Authority

  1. 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

  1. 88 FR 65415 (9/22/23), New York Stock Exchange: Rule Proposals, September 24, 2023
  2. 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
  3. 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

  1. Delaware Coastal Storm Response, Attorney General: Delaware, September 23, 2023
  2. 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
  3. 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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