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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, ENFORCEMENT—SEC Commissioner Uyeda addresses corporate penalties at Practicing Law Institute, (Nov 5, 2026)

    By Jay Fishman, J.D.

    Uyeda urges corporate penalty refinements and individual accountability.

    SEC Commissioner Mark T. Uyeda urged the SEC to consider supplementing or revising its Corporate Penalty Statement and to pursue responsible individuals where warranted. In remar ...

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