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26 May 2011, 1:29 pm
A former managing director of the NASDAQ stock market who used his wife's brokerage account to trade securities based on non-public information pleaded guilty today in Alexandria federal district court to insider trading. [read post]
7 Mar 2022, 12:43 pm
GWG (Nasdaq: GWGH) stated on April 6 that it received a letter from the Nasdaq Stock Market notifying the company that it was not in compliance “as a result of not having timely filed its Annual Report on Form 10-K for the fiscal year ended December 31, 2021. [read post]
2 Dec 2016, 10:44 am
By combining 10 outstanding shares for 1 new share, Gaithersburg-based Genvec Inc. intends to regain compliance with the $1 minimum bid price required for continued listing on the NASDAQ Capital Market. [read post]
7 Aug 2021, 4:45 am
Today [August 6, 2021], the Commission approved Nasdaq Stock Market LLC’s proposed rule changes related to board diversity and disclosure. [1] The new listing standards will require each Nasdaq-listed company, subject to certain exceptions, to have at least two diverse board members or explain why it does not. [2] The new listing standards also will require disclosure, in an aggregated form, of information on the voluntary self-identified gender, racial… [read post]
24 Dec 2013, 6:27 am
On November 26, 2013, the Nasdaq Stock Market filed a proposal to amend its listing rules implementing Rule 10C-1 of the Securities Exchange Act of 1934, governing the independence of compensation committee members. [1] Currently, Nasdaq Listing Rule 5605(d)(2)(A) and IM-5605-6 employ a bright line test for independence that prohibits compensation committee members from accepting directly or indirectly any consulting, advisory or other compensatory fees from the… [read post]
20 Apr 2012, 6:55 am
Public companies looking to “uplist” to the Nasdaq Capital Market (the lowest of their three tiers of Nasdaq exchanges) will have a little easier time qualifying now that a plan to reduce the initial minimum bid price has been approved by the SEC. [read post]
27 Jul 2007, 5:34 am
Despite numerous (well-founded, I hasten to add) objections, the SEC decided to approved a rule change to permit an issuer to keep its three-character ticker symbol if it transfers its listing to Nasdaq from another domestic listing market. [read post]
22 Dec 2020, 6:10 am
The Nasdaq stock market has filed a proposal with the US Securities and Exchange Commission requesting permission to enforce new rules aimed at advancing diversity among board members of Nasdaq-listed companies and increasing disclosure of diversity statistics. [read post]
8 Sep 2006, 8:25 am
Greifeld’s comments at the Nasdaq’s annual investor meeting came days after market speculation began to surface that he would launch a hostile bid for the London Stock Exchange. [read post]
26 May 2022, 5:09 am
” Petitioners NASDAQ Stock Market LLC challenged the new rule by alleging it was “arbitrary and capricious and contrary to the goals and policies of the Securities Exchange Act. [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 management… [read post]
30 Mar 2011, 11:33 am
The National Security Agency has been called in to help investigate recent hack attacks against the company that runs the Nasdaq stock market, according to a news report. [read post]
22 Apr 2024, 10:00 pm
Nasdaq All-Inclusive Annual Listing Fees Schedule Stay up to date with Nasdaq’s fees for each market and number of securities. [read post]
19 Aug 2021, 9:35 am
The majority of companies, meaning those listed on The Nasdaq Global Select Market, The Nasdaq Global Market, and The Nasdaq Capital Market, must have at least one diverse director by the later of two calendar years after the rule’s approval date or the date the company files its proxy statement for its annual shareholder meeting during the calendar year after the rule’s approval date. [read post]
19 Jul 2018, 11:40 am
(“AFIN” or the “Company”) listed its shares on Nasdaq Global Select Market (“Nasdaq”) on July 19, 2018, with trading opening at $13.15 a share with. [read post]
31 Dec 2009, 9:38 am
Nat'l Assn. of Securities DealersUS Securities Exchanges New York Stock Exchange NASDAQ Chicago Board of TradeInt'l Securities Exchanges London Stock Exchange Euro Exchange Tokyo Stock Exchange All Other Securities Markets [read post]
7 Feb 2011, 6:00 pm
The company that runs the Nasdaq stock market said yesterday that hackers had penetrated a service that handles confidential communication between public companies and their boards. [read post]
12 Mar 2012, 5:49 am
Photo: Dreamstime Stock Photography [read post]
10 Sep 2007, 4:53 am
Borse Dubai, locked in a takeover battle with the Nasdaq Stock Market for Nordic exchange operator OMX, violated stock-market practice when it announced its pursuit last month, the Swedish Securities Council said. [read post]
24 Jun 2021, 5:56 am
On May 19, 2021, the Securities and Exchange Commission (SEC) approved Nasdaq’s proposal to permit companies to issue shares and raise capital in primary direct listings conducted on the Nasdaq Global Select Market without the involvement of traditional underwriters. [read post]
