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22 Mar 2019, 6:27 am
Cabral (New York University), and José Corrêa Guedes (Catholic University of Portugal), on Thursday, March 21, 2019 Tags: Agency costs, Agency model, Banker bonuses, Banks, Behavioral finance, Financial crisis, Financial regulation, Incentives, Management, Moral hazard, Pay for performance, Systemic risk ESG Rating and Momentum Posted by Nimit Agarwal and Yannick Ouaknine, Société… [read post]
13 Jun 2011, 4:52 am
The fraud-on-the-market theory is based upon the hypothesis that in an open and developed securities market (such as the New York Stock Exchange or NASDAQ), the price of a company’s stock will be determined by all public material information about the company. [read post]
11 Jan 2008, 10:09 am
The New York Stock Exchange in October 2006 proposed to bar uninstructed broker votes (which routinely are cast for management nominees) in uncontested director elections by January 2008, but the SEC has yet to approve the rule change. [read post]
6 Jul 2016, 9:49 am
DiVenuto (CRD #2513921, Newburgh, New York)DiVenuto consented to the sanction and to the entry of findings that he willfully made misrepresentations and omissions to an individual in connection with the individual’s purchase of an outside business entity’s stock in exchange for the intellectual property rights to a non-securities product owned by the individual. [read post]
3 Apr 2023, 4:11 am
Ian Austen reports for the New York Times. [read post]
16 Apr 2018, 4:48 pm
Plainly crafted to contemplate not only known securities arrangements at the time – but also any prospective instruments created by those who seek the use of the money of others on the promise of profits — the definition of “security” is broad, sweeping, and designed to be flexible to capture new instruments that share the common characteristics of stocks and bonds. [read post]
13 Oct 2017, 6:09 am
A monitor displays Equifax Inc. signage on the floor of the New York Stock Exchange (NYSE) in New York, U.S., on Friday, Sept. 15, 2017. [read post]
16 May 2016, 1:00 pm
A long list of entities are excluded from the definition of “legal entity customer,” including but not limited to: Regulated financial institutions; Certain governmental agencies; Entities whose common stock or equity interest are listed on the New York Stock Exchange or the American Stock Exchange or have been designated as a NASDAQ National Market Security listed on the NASDAQ Stock Market; Issuers of classes of… [read post]
28 Sep 2016, 6:28 am
Maher worked primarily in New York, while his older brother, Michael, ran a hazardous waste business in Chicago. [read post]
18 Jan 2018, 3:00 am
” BlackRock’s new stance is sparking controversy – CNBC reports that investor Sam Zell called its action “extraordinarily hypocritical” and asked whether America was ready to have BlackRock “control the New York Stock Exchange. [read post]
10 Sep 2007, 1:02 am
Sullivan to its New York office. [read post]
7 Sep 2012, 11:01 am
Securities and Exchange Commission. [read post]
26 Jan 2007, 11:21 am
Autonomy’s customer base comprises more than 16,000 global companies and organizations including: ABN AMRO, AOL, BAE Systems, BBC, Boeing, Citigroup, Coca Cola, Daimler Chrysler, Deutsche Bank, Ericsson, Ford, GlaxoSmithKline, Hutchison 3G, Kraft Foods, Lloyd TSB, NASA, Nestle, the New York Stock Exchange, Nomura, Reuters, Shell, T-Mobile, the U.S. [read post]
17 Feb 2014, 9:01 pm
In 1998, the husband entered into an agreement with his father under which he agreed to relinquish his stock ownership in both corporations in exchange for a lump sum payment. [read post]
7 Oct 2009, 7:54 am
New York Mercantile Exchange, Inc. et al. [read post]
12 Jan 2012, 1:04 am
Don’t Be That Guy: According to a January 12, 2011 Wall Street Journal article (here), Alan Gilbert, the conductor of the New York Philharmonic, brought a performance of Mahler’s Ninth Symphony to a halt when the orchestra’s performance of the music piece’s final movement – a sonorous rumination on the meaning of mortality – was interrupted by a persistent cellphone ringtone the article described as having a xylophone sound with a marimba… [read post]
23 Jan 2014, 2:00 am
’s (NASD), is the non-governmental, self-regulatory organization regulating New York Stock Exchange brokerage firms and the exchange markets. [read post]
25 Oct 2011, 7:22 am
From Matt Farber: Since the beginning of the financial crisis, news columns and law firm memos have given much attention to material adverse change (MAC) clauses. [read post]
1 Jul 2024, 9:05 pm
The starting point must be to recognize that today senior corporate management is compensated primarily through stock options, stock grants, and other forms of equity compensation. [read post]
24 Nov 2009, 9:12 am
Multiple class stock structures with unequal voting rights can prevent voting outcomes from reflecting the views of holders of a majority of a company’s shares. [read post]
