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    • FEDERAL PREEMPTION—9th Cir.: Ninth Circuit closes the door on rehearing of Kalshi prediction markets ruling
    • BROKER-DEALERS—SEC allows brokers to include debit in Treasury reserve computations
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    • ENFORCEMENT—SEC Commissioner Uyeda addresses corporate penalties at Practicing Law Institute
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    • EXCHANGES AND MARKET REGULATION—S.D.N.Y.: Industry group challenges CFTC’s approval of single-stock perpetual derivatives
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    • PCAOB NEWS AND SPEECHES—D.D.C.: Alleged comments about PCAOB senior employee’s ethnicity, politics support hostile environment claim
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    Securities Regulation Daily Wrap Up, BROKER-DEALERS—SEC allows brokers to include debit in Treasury reserve computations, (Nov 5, 2026)

    By Anne Sherry, J.D.

    The exemptive relief is subject to seven conditions.

    The SEC granted conditional exemptive relief to permit broker-dealers to include an Item 15 debit in their customer reserve computation in connection with Treasury securities transactions where a qu ...

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