Search for: "The Nasdaq Stock Market LLC"
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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]
8 Dec 2022, 12:07 pm
appeared first on Zamansky LLC. [read post]
4 Jun 2020, 6:22 am
Summary In light of the impact of the COVID-19 pandemic, the New York Stock Exchange LLC (“NYSE”) filed notice of a proposed rule change on May 14 with the Securities and Exchange Commission (“SEC”), which became effective immediately. [1] Specifically, Section 312.03T (the “Temporary Rule”) of the NYSE Listed Company Manual (the “Manual”) provides a limited temporary exception from the application of the shareholder approval… [read post]
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]
28 Oct 2016, 6:36 am
This particular REIT promised investors returns of 8% to 10%.The FBI recently raided UDF’s office in suburban Dallas and as a result of the raid, the NASDAQ stock market has delisted UDF IV shares. [read post]
31 Jan 2013, 7:30 am
Also on November 8, Research Affiliates, LLC and WisdomTree Investments, Inc. [read post]
26 Jun 2013, 6:30 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]
30 Dec 2012, 3:30 am
Also on November 8, Research Affiliates, LLC and WisdomTree Investments, 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]
22 Mar 2023, 12:15 am
But wait, there's even more, the holding company and its non-bank was also subject to regulation by the Securities and Exchange Commission as well as at least two self-regulatory organizations - the Financial Industry Regulatory Authority, Inc. and The Nasdaq Stock Market LLC. [read post]
11 Jul 2020, 4:58 am
On January 31st, Carson Block of Muddy Waters LLC (which has a long history of spotting Chinese stock fraud) posted the 89-page report on Twitter. [read post]
26 Jun 2020, 4:30 pm
In New York Stock Exchange LLC v. [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]
15 Dec 2008, 10:34 pm
 Bernard Madoff, a former chairman of the Nasdaq Stock Market and a force in Wall Street trading for nearly 50 years, was arrested by federal agents Thursday, a day after his sons turned him in for running what they said their father called "a giant Ponzi scheme. [read post]
13 Sep 2010, 1:04 am
(Nasdaq: SCOK) skyrocketed earlier this year, after the company went public through a reverse merger that included a private placement of common stock and warrants. [read post]
2 Aug 2017, 6:45 am
Reportedly, FINRA is one of the censuring entities, along with the Nasdaq Stock Market, the New York Stock Exchange (NYSE), and the Kansas-based Bats Global Markets, acquired by Chicago Board Options Exchange Holdings, owner of the CBOE, in March of this year. [read post]
2 Aug 2017, 3:15 pm
Reportedly, FINRA is one of the censuring entities, along with the Nasdaq Stock Market, the New York Stock Exchange (NYSE), and the Kansas-based Bats Global Markets, acquired by Chicago Board Options Exchange Holdings, owner of the CBOE, in March of this year. [read post]
6 Feb 2012, 3:20 pm
On Monday, Overstock.com shares closed at $6.95 per share placing the total market value of shares held by Chou’s mutual funds at $22,662,129. [read post]
20 Sep 2009, 1:25 pm
In addition, in August 2009, the NASDAQ Listing and Hearing Review Council sent a paper to companies listed on The NASDAQ Stock Market LLC (”NASDAQ”) seeking comment on whether NASDAQ should adopt a “comply or disclose” approach with respect to certain corporate governance practices. [read post]
