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14 Nov 2023, 2:00 pm
In a stock sale, the buyer typically acquires the seller’s benefit plans (unless they are terminated, pre-closing). [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]
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]
5 Nov 2023, 1:02 pm
Nasdaq Stock Market, LLC proposed a rule that would require companies listed on its stock exchange to have women and minority directors on their boards or explain why they do not. [read post]
2 Nov 2023, 3:00 am
Yesterday, the SEC issued an order to approve Nasdaq’s proposal to require a listed company conducting a reverse stock split to: – Notify Nasdaq about certain details of the reverse stock split at least 5 business days (no later than noon ET) prior to the anticipated market effective date, and – Make public disclosure about the reverse stock split at least 2 business days (no later than noon ET) prior to the anticipated… [read post]
29 Oct 2023, 9:05 pm
Has introducing the DCSS helped stock markets attract issuers to reshape market competition? [read post]
20 Oct 2023, 12:30 pm
Facebook's stock took a beating, losing more than $200 bil in market cap. [read post]
9 Oct 2023, 6:32 am
In addition, new Item 402(x) of Regulation S-K requires new tabular disclosures if, during the most recent fiscal year, the company made an award of stock options, stock appreciation rights or similar option-like instruments to any named executive officer during a period starting four business days before, and ending one business day after, the filing of a periodic report on Form 10-Q or Form 10-K or the filing or furnishing of a current report on Form 8-K that discloses MNPI… [read post]
9 Oct 2023, 6:32 am
In addition, new Item 402(x) of Regulation S-K requires new tabular disclosures if, during the most recent fiscal year, the company made an award of stock options, stock appreciation rights or similar option-like instruments to any named executive officer during a period starting four business days before, and ending one business day after, the filing of a periodic report on Form 10-Q or Form 10-K or the filing or furnishing of a current report on Form 8-K that discloses MNPI… [read post]
27 Sep 2023, 9:01 pm
These interpretations touch on various aspects, including the timing of trades for directors and officers, the treatment of arrangements matching participant contributions with employer stock, and the disclosure requirements for trading arrangements. [read post]
26 Sep 2023, 4:49 am
Recall that the SEC oversees the securities markets. [read post]
20 Sep 2023, 11:47 am
This is because the US Securities and Exchange Commission (SEC) recently approved final rules on June 9, 2023, that required national securities exchanges like the New York Stock Exchange (NYSE) and the Nasdaq to implement new listing standards requiring public companies to institute compliant incentive-based compensation clawback policies. [read post]
7 Sep 2023, 5:55 am
The directive came 10 years after an extreme stock market volatility event that was later dubbed “the flash crash. [read post]
3 Aug 2023, 3:30 am
Specifically, Nasdaq is proposing to adopt additional listing rules requiring a company conducting a reverse stock split to notify Nasdaq about certain details of the reverse stock split at least five (5) business days (no later than 12:00 p.m. [read post]
24 Jul 2023, 10:00 pm
Companies listed on the New York Stock Exchange (NYSE) and Nasdaq Stock Market (Nasdaq) have until December 1 to adopt compliant clawback policies for erroneously awarded rewards, now that the SEC has approved listing standards. [read post]
17 Jul 2023, 9:01 pm
If I buy Apple stock on the NASDAQ, it is still a security even though I have not entered into a contract with Apple and none of my funds go directly to Apple. [read post]
10 Jul 2023, 12:30 pm
The stock markets certainly reflected those figures. [read post]
10 Jul 2023, 11:51 am
The overall slump in the SPAC market and the resulting diminished expectations also means that fewer SPAC-merged companies are trading at heightened valuations of the type that make companies vulnerable to a sharp stock drop on the announcement of disappointing news. [read post]
16 Jun 2023, 6:11 am
The institutional investor purchased 19,831 shares of the company’s stock, valued at approximately $125,000. [read post]
13 Jun 2023, 8:37 am
NASDAQ holds itself out as being the premier exchange for SPACs. [read post]
