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16 Nov 2023, 6:30 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]
16 Nov 2023, 6:30 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]
15 Nov 2023, 6:30 am
Court of Appeals for the Fifth Circuit denied petitions to review the SEC’s approval of Nasdaq’s board diversity disclosure rule, which requires Nasdaq-listed companies to have female and minority or LGBTQ+ directors on their boards (or explain why they do not), and disclose diversity statistics of their directors.[1] With this decision, the Nasdaq rule remains in effect, and Nasdaq-listed companies subject to the rule should be prepared to comply with… [read post]
15 Nov 2023, 6:30 am
Court of Appeals for the Fifth Circuit denied petitions to review the SEC’s approval of Nasdaq’s board diversity disclosure rule, which requires Nasdaq-listed companies to have female and minority or LGBTQ+ directors on their boards (or explain why they do not), and disclose diversity statistics of their directors.[1] With this decision, the Nasdaq rule remains in effect, and Nasdaq-listed companies subject to the rule should be prepared to comply with… [read post]
14 Nov 2023, 2:00 pm
New and Updated Practical Guidance Content Retirement Plan Policies and Procedures Resource Kit ACA Health Plan Rate and Pricing Public Disclosures Checklist ACA Health Plan Cost Data Online Tool and Disclosure Checklist COBRA Administration Flowchart Balance Billing and Other No Surprises Act Rules Identity Theft and Internet Fraud Warning Clauses (Retirement Plan) (Summary Plan Description 'Clawing Back' Executive Compensation: Companies Listed on the NYSE and Nasdaq Have Until… [read post]
14 Nov 2023, 2:00 pm
Nasdaq 20% Rule Shareholder Approval Clause Draft a covenant requiring the company to get shareholder approval for issuing securities above the 20% threshold. [read post]
13 Nov 2023, 1:01 pm
FINRA Rule 2020 Example In October of 2014, The Securities and Exchange Commission (SEC) took action against a high-frequency trading firm, Athena Capital Research, for manipulating the closing prices of numerous NASDAQ-listed stocks during a six-month period in 2009. [read post]
8 Nov 2023, 9:01 pm
John and J.T. cover the following topics: – New California Climate Legislation – Amendments to Beneficial Ownership Reporting Rules – IAC’s Recommendations on Human Capital Management Disclosure – 5th Circuit Panel’s Decision Upholding Nasdaq’s Board Diversity Disclosure Rules – NYSE Clawback Policy Affirmation Requirement As always, if you have insights on a securities law, capital markets or corporate governance issue, trend or development… [read post]
7 Nov 2023, 8:37 am
Market Manipulation in Action In October of 2014, The Securities and Exchange Commission (SEC) took action against a high-frequency trading firm, Athena Capital Research, for manipulating the closing prices of numerous NASDAQ-listed stocks during a six-month period in 2009. [read post]
6 Nov 2023, 9:00 pm
New and Updated Practical Guidance Content ACA Health Plan Rate and Pricing Public Disclosures Checklist ACA Health Plan Cost Data Online Tool and Disclosure Checklist COBRA Administration Flowchart Church Plan Election of ERISA Status under Section 410(d) Identity Theft and Internet Fraud Warning Clauses (Retirement Plan) (Summary Plan Description 'Clawing Back' Executive Compensation: Companies Listed on the NYSE and Nasdaq Have Until December 1 to Adopt a Compensation Recovery… [read post]
6 Nov 2023, 3:05 am
As described in this Loeb & Loeb Quick Takes blog, Nasdaq recently added FAQ Number 1864 containing guidance on completing the electronic disclosure form to provide the required advance notice to Nasdaq’s MarketWatch Department when material non-public information is being announced. [read post]
5 Nov 2023, 1:02 pm
” Nasdaq is a private company that operates a securities exchange. [read post]
4 Nov 2023, 6:30 am
KeyPoints: By December 1, 2023, all companies listed on the NYSE or Nasdaq must adopt clawback policies that comply with listing standards mandated by the SEC (the SEC Clawback Rules). [read post]
4 Nov 2023, 6:30 am
KeyPoints: By December 1, 2023, all companies listed on the NYSE or Nasdaq must adopt clawback policies that comply with listing standards mandated by the SEC (the SEC Clawback Rules). [read post]
3 Nov 2023, 11:03 am
Three of GAILLE PLLC’s partners previously served as in-house counsel, including as the Chief Compliance Officer & General Counsel for a NASDAQ-listed E&P company and the General Counsel of Occidental Chemical Corporation. [read post]
2 Nov 2023, 3:00 am
Here’s what happens if you don’t comply: Additionally, if a company takes legal action to effect a reverse stock split notwithstanding its failure to timely satisfy these requirements, or provides incomplete or inaccurate information about the timing or ratio of the reverse stock split in its public disclosure, Nasdaq will halt the stock in accordance with the procedure set forth in Nasdaq Equity 4, Rule 4120, that provides Nasdaq with the authority to halt… [read post]
30 Oct 2023, 11:00 pm
New and Updated Practical Guidance Content Executive Separation Agreement Negotiation (Pro-executive) Considerations for Health and Welfare Church Plans in Electing ERISA Status Church Plan Election of ERISA Status under Section 410(d) Executive Employment Agreement Drafting Checklist Identity Theft and Internet Fraud Warning Clauses (Retirement Plan) (Summary Plan Description 'Clawing Back' Executive Compensation: Companies Listed on the NYSE and Nasdaq Have Until December 1 to… [read post]
30 Oct 2023, 9:01 pm
For more information about Nasdaq’s board diversity rule, please see our Governance Update here. [read post]
30 Oct 2023, 7:31 am
By Anne Sherry, J.D.The leader of a challenge to Nasdaq’s board-diversity rule is asking the full Fifth Circuit to rehear the case. [read post]
29 Oct 2023, 9:05 pm
Before the Chinese and Hong Kong reforms, from 2000 to 2019, 244 Chinese issuers floated on either the NYSE or NASDAQ through the issuance and trading of depository receipts; of these, 98 adopted a DCSS (40.2 percent). [read post]
