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22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
20 Feb 2024, 1:15 pm
” Shares of Rivian fell as much as 5.2% in intraday trading Tuesday, pushing its year-to-date slump to more than 30% even as the tech-heavy Nasdaq 100 and the broader S&P 500 Index have both jumped by around 4%. [read post]
12 Feb 2024, 6:30 am
Therefore, Glass Lewis believes that in addition to adopting clawback policies that comply with the new NYSE and Nasdaq listing requirements, companies should adopt clawback policies enabling them to recoup incentive compensation from an executive (regardless of whether the executive was terminated with or without cause) in cases of problematic decisions or actions, such as material misconduct, material reputational failure, material risk management failure, or material operational failure,… [read post]
12 Feb 2024, 6:30 am
Therefore, Glass Lewis believes that in addition to adopting clawback policies that comply with the new NYSE and Nasdaq listing requirements, companies should adopt clawback policies enabling them to recoup incentive compensation from an executive (regardless of whether the executive was terminated with or without cause) in cases of problematic decisions or actions, such as material misconduct, material reputational failure, material risk management failure, or material operational failure,… [read post]
6 Feb 2024, 9:02 pm
Here’s what it includes on T+1 settlement (similar to Nasdaq’s recent issuer alert): The transition to a T+1 settlement cycle pursuant to SEC Rule 15c6-1(a) will occur on May 28, 2024. [read post]
6 Feb 2024, 9:01 pm
The good news is that under both NYSE and Nasdaq listing standards, if the subsidiary is not itself subject to SEC financial reporting requirements, there should be no events that would trigger recovery of compensation under the policy. [read post]
5 Feb 2024, 3:15 am
.; 2/24), Chancellor McCormick denied a motion by directors and officers of Coinbase Global to dismiss claims that arose from Coinbase’s 2021 direct listing on Nasdaq. [read post]
4 Feb 2024, 9:01 pm
Nasdaq currently has no similar affirmation requirement. [read post]
31 Jan 2024, 12:34 pm
This month, TuSimple said it was delisting from Nasdaq and going private, effectively removing itself from future disclosure obligations. [read post]
30 Jan 2024, 7:02 am
The post ArriVent’s Nasdaq Debut Nabs $175M As Signs Indicate An Opening IPO Window appeared first on Above the Law. [read post]
26 Jan 2024, 4:05 am
Nasdaq recently adopted a rule addressing this topic. [read post]
22 Jan 2024, 11:08 am
., a Rockville-based licensor of silicon and software IP, will announce results for its fourth quarter and full year 2023 on Feb. 14 before the NASDAQ market opens. [read post]
11 Jan 2024, 9:05 pm
SEC (2023), where Nasdaq, a regulated but private entity, implemented its own board diversity guidelines. [read post]
10 Jan 2024, 9:02 pm
Yesterday afternoon, the Commission approved a series of rule changes that will allow for the listing and trading of the 11 bitcoin ETFs that were the subject of applications by national securities exchanges — specifically, NYSE Arca, Nasdaq, and Cboe BZX Exchange. [read post]
10 Jan 2024, 12:35 pm
The company is publicly traded on the Nasdaq. [read post]
5 Jan 2024, 6:31 am
Related research from the Program on Corporate Governance includes Politics and Gender in the Executive Suite (discussed on the Forum here) by Alma Cohen, Moshe Hazan, and David Weiss; Will Nasdaq’s Diversity Rules Harm Investors? [read post]
5 Jan 2024, 6:31 am
Related research from the Program on Corporate Governance includes Politics and Gender in the Executive Suite (discussed on the Forum here) by Alma Cohen, Moshe Hazan, and David Weiss; Will Nasdaq’s Diversity Rules Harm Investors? [read post]
2 Jan 2024, 12:56 pm
The directors’ and officers’ liability environment is always changing, but 2023 was a particularly eventful year, with important consequences for the D&O insurance marketplace. [read post]
