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15 Mar 2010, 8:31 am
March 15, 2010Judge Lifland’s Opinion On Net Equity. [read post]
14 Mar 2010, 6:06 pm
I have set out below my written Q&A exchange with the authors. [read post]
14 Mar 2010, 8:25 am
(go back) [7] The New York Stock Exchange rule changes eliminating broker discretionary voting in uncontested director elections are described in more detail in our memorandum to clients, dated July 2, 2009, entitled “SEC Approves NYSE Rule Eliminating Broker Discretionary Voting in Director Elections and Proposes Rules Expanding Compensation and Corporate Governance Disclosure and Establishing Shareholder Say-on-Pay Requirements for TARP Recip [read post]
12 Mar 2010, 5:11 am
Kohlberg Kravis Roberts on Friday officially sought a listing on the New York Stock Exchange, the final step in its years-long effort to become a publicly traded private equity firm. [read post]
9 Mar 2010, 2:31 pm
A former stock loan trader at Morgan Stanley and Bank of America in New York received well over $100,000 of cash kickbacks by steering orders to other brokerage firms, the Securities and Exchange Commission said in a lawsuit filed Tuesday. [read post]
8 Mar 2010, 1:32 am
In that respect, the timing of Aguilar’s speech advocating the use of corporate penalties for deterrence purposes is more than a little odd, coming as it does so closely on the heels of Southern District of New York Judge Jed Rakoff’s highly publicized questions of the proposed settlement of the SEC’s enforcement action against the Bank of America. [read post]
7 Mar 2010, 7:40 pm
The half-day event at the Hamilton Princess will be opened by Bermuda's Deputy Premier Paula Cox and will feature three discussions: the first on the New York Stock Exchange and what it will mean to Bermuda and London markets; a look at the Class of 2005 five years on; and panel on the age-old debate on Bermuda vs London and whether the rivalry is still there. [read post]
6 Mar 2010, 8:55 am
" Given recent New York Court of Appeals decisions in construction accident cases involving Section 240(1), see, Runner v New York Stock Exchange, Inc., NY3d, 2009 WL 4840213, 2009 NY Slip Op 09310, 2009, it is submitted that the pendulum has swung back, i.e. an object at a construction site falls from a height plaintiff wins. [read post]
4 Mar 2010, 6:09 am
In 1958, Joseph Livingston surveyed the lot of the shareholder in this reformed world — a world of SEC regulation, extensive disclosure requirements, elaborate proxy machinery, Stock Exchange self-discipline, corporate Good Citizenship, People’s Capitalism, and Corporate Democracy. [read post]
28 Feb 2010, 6:29 am
The current corporate governance landscape includes proposed or actual reforms to these areas from federal legislation, SEC rule-making, state corporate legislation, changes to New York Stock Exchange rules, and stockholder proposals. [read post]
25 Feb 2010, 8:25 am
In 2006, the firm agreed to pay a total of $21 million to settle criminal and administrative charges for paying bribes to an official in order to secure oil and gas rights in Iran.Statoil was held liable to the anti-bribery provisions because the improper payments were routed through a US bank in New York. [read post]
24 Feb 2010, 7:52 am
But Kazu Tomita, the general manager for the Tokyo Stock Exchange’s New York City office confirmed that the rules basically say that the company is required to disclose the information “as soon as possible” or “as soon as they recognize the fact”. [read post]
23 Feb 2010, 6:49 am
The importance of retail participation has increased since the SEC approved a New York Stock Exchange rule change in July to bar brokers from casting uninstructed client votes in uncontested board elections. [read post]
22 Feb 2010, 1:40 pm
In New York City Employees’ Retirement System v. [read post]
21 Feb 2010, 6:18 am
Securities and Exchange Commission. [read post]
18 Feb 2010, 2:15 pm
See Leslie Wayne’s June 25, 2009 article in the New York Times entitled “Target-Date Mutual Funds May Miss Their Mark. [read post]
14 Feb 2010, 7:18 pm
. - Dave Deegan, EPA News Release, February 8, 2010 A Portland, Conn. asphalt company has agreed to pay $68,400 in penalties for failing to comply with federal regulations designed to prevent oil spills from reaching waterways. [read post]
14 Feb 2010, 5:39 am
Stanton, March 25, 2009, Comment File, Proposed Amendment to New York Stock Exchange Rule 452. [read post]
12 Feb 2010, 10:14 am
For example, in cities like Washington, D.C., Austin, Texas and New York City, municipal governments are attempting to create a market for energy efficient buildings by requiring disclosure of building stock energy usage. [read post]
9 Feb 2010, 7:36 am
That doesn’t work in financial products, which can be replicated overseas in a New York (or London!) [read post]
