PinHawk - News for Professionals

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.

Subscribe
(US$199/year)

Two week free trial

Tell a friend


	Wednesday, May 15, 2024	Vol. 21, No. 862	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

ISDA/SIFMA Treasury Forum, Securities Industry and Financial Markets Association: Events, May 14, 2024

Top

REGULATORY

CFTC

Concurring Statement of Commissioner Caroline D. Pham on Novel U.S. Location Test and FCM Registration, CFTC: Speeches & Testimony, May 14, 2024
CFTC Charges Agridime and Its Co-Founders with a Fraudulent Cattle Scheme, CFTC: Press Releases, May 14, 2024
Miami Federal Court Orders Multiple Individuals and Entities to Pay Over $225 Million for Foreign Currency Fraud and Misappropriation Scheme, CFTC: Press Releases, May 14, 2024

Financial Industry Regulatory Authority

UPC #30-24 - Alpine Summit Energy Partners, Inc, FINRA: Advisories, May 14, 2024
Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity, FINRA: News Releases, May 14, 2024
Holiday Reminder Regarding FINRA Market Transparency Reporting Systems, FINRA: News Releases, May 14, 2024

Top

EXCHANGES

NYSE

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Connectivity Fee Schedule, New York Stock Exchange: Rule Proposals, May 14, 2024

AMEX

Euronext publishes Q1 2024 results, May 14, 2024

Top

LITIGATION

State Attorney General Releases

DNREC Announces Fees, Passes for Use of Deauville Beach, Attorney General: Delaware, May 14, 2024
Office of Women’s Advancement & Advocacy and Delaware Women’s Commission Announce 2024 She’s on Her Way Awardees, Attorney General: Delaware, May 14, 2024
School Behavioral Health Professionals to be Honored, Attorney General: Delaware, May 14, 2024
Continuing trend, Safe2Tell sees second highest reporting month in program history, Attorney General: Colorado, May 14, 2024

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 or comments@pinhawk.com.

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