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23 Sep 2008, 10:51 pm
In those cases, it appears shareholder approval is needed, much like on the larger US exchanges such as the New York Stock Exchange and American Stock Exchange (this is not true on the OTC Bulletin Board or OTC Pink Sheets).Again, do not take this as for sure, as we have not even finished looking over the regulations and hope to soon. [read post]
20 Sep 2008, 4:50 pm
The New York Post reports that former AIG CEO Hank Greenberg's attorney David Boies indicated in an interview that his client may try to end government involvement in the company "as prompt as possible" Sources: AIG Form 8K filed with the SEC on September 18, 2008 Wall Street Journal, New York Times, Huffington Post, Deal Book blog, New York Post, Bloomberg According to London's Financial Times "the… [read post]
19 Sep 2008, 10:38 am
" The announcement comes just one day after New York Attorney General Andrew Cuomo announced an investigation into whether short sellers spread false rumors about Lehman Brothers Holdings Inc., American International Group Inc. and other financial companies to lower their stock prices.According to SEC Chairman Christopher Cox, "The Commission is committed to using every weapon in its arsenal to combat market manipulation that threatens investors and… [read post]
18 Sep 2008, 5:57 am
Joe agreed, and our exchange follows below. [read post]
16 Sep 2008, 10:27 pm
The New York Times reports that Treasury Secretary Henry M. [read post]
11 Sep 2008, 5:16 am
The so-called algorithmic trading mechanisms, which buy and sell stocks based on news headlines and earnings data, were responsible for roughly a quarter of New York Stock Exchange trades in the last week of August.From a legal perspective, this raises all sorts of questions about causation. [read post]
11 Sep 2008, 1:47 am
The amended complaint also alleges that Jobs himself received backdated options that were later cancelled in exchange for restricted stock. [read post]
9 Sep 2008, 1:17 pm
As to her daughters' airfares and travel expenses, The Post calls one into question: One event was in New York City in October 2007, when Bristol accompanied the governor to Newsweek's third annual Women and Leadership Conference, toured the New York Stock Exchange and met local officials and business executives. [read post]
7 Sep 2008, 10:46 pm
The nolle prosequi orders conclude the Justice Department's probe, began in 2005, against 15 New York Stock Exchange specialists for securities fraud violations. [read post]
1 Sep 2008, 1:33 pm
Time to take stock. [read post]
28 Aug 2008, 5:01 pm
Grasso expensed over the period of 2000-2002 equaled slightly less than 100 percent of the New York Stock Exchange’s (NYSE) net income over this same period. [read post]
28 Aug 2008, 11:42 am
Compared to previous years, more companies have been delisted so far this year from the Nasdaq Stock Market and, to a lesser extent, from the New York Stock Exchange for failing to meet [...] [read post]
27 Aug 2008, 12:25 pm
., entered into an agreement with Alan Goldston to provide "legal services" in exchange for 4 shares of Bandwidth stock (representing a 2% interest in the company). [read post]
27 Aug 2008, 12:01 pm
In exchange, noteholders were offered warrants to buy stock worth 20 percent of the private-equity-owned publisher. [read post]
27 Aug 2008, 5:01 am
The Financial Industry Regulatory Authority (FINRA) (formerly the National Association of Securities Dealers (NASD)) and the New York Stock Exchange (NYSE) :: members are required to preserve records for no less than six years or they can be imposed with a civil fine. [read post]
20 Aug 2008, 5:00 pm
(Editor’s note: This post comes from Harold Mulherin of the Terry College of Business at the University of Georgia, and William Brown and Marc Weidenmier of Claremont McKenna College) For a significant part of its 213-year history, the New York Stock Exchange (NYSE) has reigned as the leading stock exchange both within the United States and across the world. [read post]
20 Aug 2008, 2:24 pm
Prior to 1970, the New York Stock Exchange prohibited the public [...] [read post]
20 Aug 2008, 2:01 am
The managers and supervisors of the London Stock Exchange, New York Stock Exchange, etc., seem to be very comfortable with delivering on their supervisory responsibilities on these exchanges, despite the OTC derivatives market that flourishes alongside. [read post]
14 Aug 2008, 6:33 pm
New York Stock Exchange, LLC NYSE Arca Inc. [read post]
11 Aug 2008, 6:10 pm
GFI Software, a software company specializing in content and network security, messaging and compliance solutions for SMBs, at very competitive prices, has compiled various documents focusing on email archiving laws affecting businesses in the United States.One such particular document by GFI is a short article on Email archiving in the US : The key laws that affect your business covering the Securities Exchange Act of 1934 (SEC), the Commodity Futures Trading Commission (CFTC), the… [read post]
