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Securities News
   
Monday, July 24, 2017
 
Vol. 17, No. 145
 
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 IN THE NEWS
Mergerstat: M&A News
Industry Update
 REGULATORY
SEC
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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IN THE NEWS

Industry Update

  1. SIFMA Submits Comments to SEC on Standards of Conduct for Financial Professionals, Securities Industry and Financial Markets Association: Press Releases, July 21, 2017
  2. SIFMA Testimony at House Subcommittee Fixed Income Market Structure Hearing, Securities Industry and Financial Markets Association: Press Releases, July 21, 2017

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REGULATORY

SEC

  1. Federal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule, Securities & Exchange Commission: Press Releases, July 21, 2017
  2. PCAOB Rulemaking, SEC: Selected SRO Rulemaking, July 21, 2017
  3. Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change in the Size of a Creation Unit Applicable to Shares of the PIMCO Low Duration Active Exchange-Traded Fund, SEC: NYSE Arca Rulemaking, July 21, 2017
  4. Andrew T.E. Coldicutt, et al., Securities & Exchange Commission: Litigation Releases, July 21, 2017
  5. July 21, 2017, Securities & Exchange Commission: What's New, July 21, 2017
  6. July 20, 2017, Securities & Exchange Commission: What's New, July 21, 2017
Financial Industry Regulatory Authority

  1. Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements, FINRA: Rule Filings, July 22, 2017
  2. Election Notice – 7/21/17, FINRA: Notices, July 21, 2017

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EXCHANGES

NYSE

  1. UBS Securities, LLC, New York Stock Exchange: Disciplinary Actions, July 21, 2017
  2. Proposed Change in Connection with its Name Change to NYSE American LLC and the Related Rebranding of NYSE Amex Options to NYSE American Options to Make Technical and Conforming Changes to the Rules of the Exchange and the NYSE Amex Options Fee Schedule, New York Stock Exchange: Rule Proposals, July 21, 2017
  3. Proposal to amend Supplementary Material .01 and .02 to NYSE MKT Rule 5.2E(j)(3) to provide for the inclusion of cash in an index underlying a series of Investment Company Units, which amendments conform to amendments to NYSE Arca Equities Rule 5.2(j)(3) previously approved by the Securities and Exchange Commission (“Commission”)., New York Stock Exchange: Rule Proposals, July 21, 2017
  4. Proposed Rule Change to Amend Section 146 of the NYSE MKT Company Guide, New York Stock Exchange: Rule Proposals, July 21, 2017
  5. Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.38E to Specify the Ranking of an Odd Lot Order that has a Display Price that is Better than its Working Price, New York Stock Exchange: Rule Proposals, July 21, 2017
  6. Proposed Rule Change to Amend Rule 7.38E to Specify the Ranking of an Odd Lot Order that has a Display Price that is Better than its Working Price, New York Stock Exchange: Rule Proposals, July 21, 2017
NASDAQ

  1. Nasdaq Welcomes PetIQ, Inc. (Nasdaq: PETQ) to The Nasdaq Stock Market, July 21, 2017

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LITIGATION

Federal Courts

  1. ODEON CAPITAL GROUP LLC MATHEW VAN ALSTYNE EVAN SCHWARTZBERG v. BRET ACKERMAN, U.S. 2nd Circuit Court Opinions, July 22, 2017
  2. THAI LAO LIGNITE THAILAND CO LTD HONGSA LIGNITE LAO PDR CO LTD v. GOVERNMENT OF THE LAO PEOPLE DEMOCRATIC REPUBLIC, U.S. 2nd Circuit Court Opinions, July 21, 2017
Class Actions

  1. Oklahoma Firefighters Pension and Retirement System v. Lexmark International, Inc., Labaton Sucharow: Cases, July 21, 2017

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ALSO OF NOTE

News & Transactions

  1. DLA Piper absorbs 60-lawyer Los Angeles boutique - Reuters, (DLA Piper), July 24, 2017
  2. Australian telco Speedcast buys US-based UltiSat for $100m - DEALSTREETASIA, (Goodwin Procter), July 24, 2017
  3. Hunton & Williams reps Pebblebrook Hotel Trust in $118 million sale - New York Real Estate Journal Online, (Hunton & Williams), July 23, 2017
  4. McCormick Adds to Condiment Line With Acquisition - Valley News, (Cleary Gottlieb), July 23, 2017
  5. Taylor English adds partner - MDJOnline.com, (Seyfarth Shaw), July 23, 2017
  6. Ben Bruton and Nick Sharratt join Winston & Strawn law office in Dubai - Zawya, (Winston & Strawn), July 22, 2017
  7. Dentons Enters Scotland With Merger - Bloomberg Big Law Business, (Dentons), July 22, 2017
  8. Mexico's Bimbo agrees to buy US baker East Balt for $650 mln - Reuters, (Cleary Gottlieb), July 21, 2017
  9. Wake Up Call: Kasowitz Partner Exits, Seeking 'Warmth' - Bloomberg Big Law Business, (Paul Weiss; DLA Piper), July 21, 2017
  10. Mast Capital and Angelo, Gordon & Co. Purchase Conrad Miami for $72M - Hotel Business (press release), (Paul Hastings), July 21, 2017
  11. CC, Cleary star in CITIC Agri Fund's $1.1 bln purchase of Dow corn seed assets - Legal Business Online, (Clifford Chance), July 21, 2017
  12. Macclesfield haulage business acquires Warrington rival | Insider ... - Insider Media, (Squire Patton Boggs), July 21, 2017

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