Search for: "The Nasdaq Stock Market LLC"
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1 Apr 2016, 7:27 am
According to reports, the NASDAQ Stock Market LLC (“NASDAQ”) has notified UDF IV that it is not in compliance with NASDAQ Listing Rule 5250(c)(1). [read post]
13 Jan 2016, 5:05 pm
In the following guest post from John Reed Stark, President, John Reed Stark Consulting LLC, and David R. [read post]
4 Jun 2015, 7:25 am
(NASDAQ:GEVO) announced today that it has engaged FCStone Merchant Services, LLC, a division of INTL FCStone, Inc. [read post]
19 Mar 2015, 2:20 pm
”According to the SEC, GLR Advisors raised over $60 million by inflating the performance and misrepresenting the strategy of a private investment fund.Between 2005 and 2011, the firm advertised its “SEC approved” GLR Growth Fund as having returns of 17%-25% during every year of its operation.GLR’s marketing materials claimed the fund was “tied to well-known stock indices such as the S&P 500, Nasdaq and Dow Jones, as well as in oil, natural… [read post]
7 Oct 2014, 11:57 am
The newly renamed MMA Capital Management LLC, of Baltimore, a real estate asset management company, will start trading on the Nasdaq Capital Market exchange on Thursday, MMA announced. [read post]
16 Sep 2014, 11:26 am
The vitamin supplement company went public by IPO in 1996, raising some $102MM on NASDAQ. [read post]
9 Sep 2014, 10:29 am
On August 26, 2014, The NASDAQ Stock Market LLC (“NASDAQ”) filed with the Securities and Exchange Commission (the “SEC”) certain proposed amendments to the NASDAQ Stock Market Rules (the “Amendments”) to provide for, among other things, a new all-inclusive annual listing fee (the “All-Inclusive Annual Fee”). [read post]
22 Jul 2014, 5:14 am
The company’s market cap is $48.9 million. [read post]
3 Feb 2014, 7:12 am
Asta Funding Inc. - Asta, a publicly traded company (Nasdaq: ASFI), acquired an 80% ownership interest in CBC Settlement Funding, LLC ("CBC"), a structured settlement factoring company on December 31, 2013. [read post]
7 Jan 2014, 1:57 pm
., ("Asta") a publicly traded company (Nasdaq: ASFI), has announced the December 31, 2013 acquisition of an 80% ownership interest in CBC Settlement Funding, LLC ("CBC"), a structured settlement factoring company. [read post]
26 Jun 2013, 6:30 am
Also on November 8, Research Affiliates, LLC and WisdomTree Investments, Inc. [read post]
5 Jun 2013, 1:41 pm
May 29, 2013 was a bad day at the office for The Nasdaq Stock Market, LLC as it agreed to pay a $10 million fine to settle allegations arising from the troubled May 18, 2012 Facebook IPO. [read post]
8 Apr 2013, 1:20 pm
The initiative is part of a growing effort by investors and stock exchanges, including NASDAQ OMX, to make environmental, social and governance (ESG) disclosure a consistent requirement for corporate listings on stock exchanges. [read post]
27 Mar 2013, 6:32 am
The NASDAQ Stock Market LLC (Nasdaq) recently filed with the Securities and Exchange Commission (SEC) a proposed rule [1] requiring listed companies to establish and maintain an internal audit function. [2] The SEC is soliciting comments on the proposed rule through March 29, 2013. [3] Under the proposed rule, the internal audit function would be required to provide management and the audit committee with ongoing assessments of the company's risk… [read post]
7 Mar 2013, 8:38 am
The findings further stated that the firm transmitted to the FINRA/NASDAQ Trade Reporting Facility (FNTRF) last sale reports of transactions in designated securities, and failed to designate through the FNTRF such last sale reports as reflecting a price different from the current market when the execution was based on a prior reference point in time. [read post]
31 Jan 2013, 7:30 am
Also on November 8, Research Affiliates, LLC and WisdomTree Investments, Inc. [read post]
30 Dec 2012, 3:30 am
Also on November 8, Research Affiliates, LLC and WisdomTree Investments, Inc. [read post]
4 Dec 2012, 6:30 am
Also on November 8, Research Affiliates, LLC and WisdomTree Investments, Inc. [read post]
7 Nov 2012, 1:59 pm
To compensate investors that suffered losses from the technical snafus, Nasdaq Stock Market LLC is proposing a $62 million reimbursement fund. [read post]
31 Jul 2012, 1:58 pm
In other securities news, Nasdaq Stock Market LLC has submitted a proposal to the SEC that would allow it to establish a $62 million fund to pay back qualifying members that suffered losses due to technical glitches involving Facebook’s (FB) IPO in May. [read post]
