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Securities News Sample

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	Thursday, May 25, 2023	Vol. 21, No. 618	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

Notice to Members I-23-11, National Futures Association: Notices to Members, May 25, 2023
NASAA Celebrates the Five-Year Anniversary of the Senior Safe Act, North American Securities Administration Association: Top Stories, May 24, 2023

Top

REGULATORY

CFTC

Statement of Commissioner Kristin N. Johnson: Enforcement Action To Stop Bitcoin Fraud Targeting the Spanish-Speaking Community, CFTC: Speeches & Testimony, May 24, 2023
CFTC Charges Five Defendants with Fraudulent Digital Assets Trading Scheme, CFTC: Press Releases, May 24, 2023

Financial Industry Regulatory Authority

FINRA Foundation-CFA Institute Research Focuses on Gen Z Investors, NASDR: Member Alerts, May 24, 2023

Top

EXCHANGES

NYSE

Proposed Rule Change to List and Trade Shares of the Natixis Loomis Sayles Focused Growth ETF under NYSE Arca Rule 8.601-E, New York Stock Exchange: Rule Proposals, May 24, 2023

Top

LITIGATION

State Attorney General Releases

Attorney General Mayes Urges Court to Uphold Prohibition on Handgun Sales to Individuals Under 21, Attorney General: Arizona, May 24, 2023

Top

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