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Nasdaq Issues Pending Suspension or Delisting

Nasdaq publishes daily lists of companies pending suspension or delisting due to failure to meet listing requirements or voluntary delisting intentions. This information helps brokers and dealers comply with SEC Penny Stock Rules.

Nasdaq Noncompliant Company List and SEC Rules

Nasdaq publishes a daily list of companies that are noncompliant with continued listing standards or pending delisting. This list aids brokers and dealers in complying with SEC Penny Stock Rules, specifically SEC Rule 3a51-1(g). Companies are added or removed daily based on compliance status and trading data.

Nasdaq Disciplinary Actions by Firm

Nasdaq has published a list of disciplinary actions taken against various firms, including IMC Chicago, Instinet, LLC, and Virtu Americas LLC, with dates ranging from late 2025 to early 2026. These actions are part of Nasdaq's ongoing market regulation and enforcement activities.

DOJ: Former Commercial Roofing Executive Pleads Guilty to Bid Rigging

The Department of Justice announced that Gregg Wallick, former executive of a commercial roofing company, pleaded guilty to a conspiracy to rig bids on roofing projects in Florida. The scheme illegally obtained over $3.5 million and violated the Sherman Act.

DOJ and USPTO Statement of Interest on Innovation Incentives

The Department of Justice and the U.S. Patent and Trademark Office filed a statement of interest in a patent infringement case, reaffirming the importance of preserving incentives to innovate. The filing supports the patent owner's ability to seek injunctive relief to prevent infringement, which is crucial for economic growth and competition.

DOJ: Texas Man Sentenced for Antitrust Conspiracy

The Department of Justice announced that Roberto Garcia Villarreal was sentenced to 30 months in prison and a $50,000 fine for his role in a conspiracy to monopolize the international transit industry. The scheme involved price fixing and extorting competitors.

FCA bans Kasim Garipoglu from UK financial services

The FCA has banned Kasim Garipoglu from working in UK financial services due to a lack of honesty and integrity. Garipoglu demonstrated a disregard for regulatory requirements, undermined AML controls, and provided false information to regulators.

SEC Approves Amended Distribution Plan for Compass Minerals Disclosure Violations

The SEC has approved an amended distribution plan for Compass Minerals International, Inc. following disclosure violations. The amendment corrects a scrivener's error in the plan of allocation, ensuring fair distribution of the Fair Fund to harmed investors.

SEC v. Vanguard Group - Administrative Proceeding and Settlement

The SEC has issued a second extension order in the administrative proceeding against Vanguard Group, Inc. The Division of Enforcement has requested an extension until July 31, 2026, to submit a Proposed Plan of Distribution for a Fair Fund totaling $146.4 million, stemming from Vanguard's settlement of misleading statements regarding tax consequences to investors.

SEC v. Elanco Animal Health Inc. - Proposed Plan of Distribution

The SEC has issued a notice regarding a proposed plan of distribution for $15 million in civil penalties collected from Elanco Animal Health Inc. Elanco was fined for misleading revenue statements made between Q1 2019 and Q1 2020. The public has 30 days to comment on the distribution plan.