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12 Oct 2007, 9:22 am
In letters to the Securities and Exchange Commission, individual and institutional investors voiced opposition to any new limits on non-binding shareholder proposals. [read post]
12 Oct 2007, 12:52 am
The SEC says a few of these illegal operations took place in bars and restaurants throughout New York City where participants passed around payments worth thousands of dollars. [read post]
10 Oct 2007, 2:27 pm
This sanction by the SEC against Morgan Stanley Dean Witter comes on the heals of $10.4 million in fines against 14 other broker-dealer firms by the New York Stock Exchange over similar charges. [read post]
10 Oct 2007, 1:10 am
Linda Greenhouse at the New York Times reports here that the Justices appeared skeptical of the plaintiff's claim. [read post]
9 Oct 2007, 3:32 pm
According to the New York Stock Exchange (NYSE) enforcement wing, the violations occurred between July 1, 2003 and Oct 31, 2004. [read post]
9 Oct 2007, 9:36 am
As the Court concluded an hourlong hearing in a vitally important securities case, there seemed hardly a chance — even a remote one — that federal law against stock fraud would be read to give investors a significant new tool to go after stock fraud themselves. [read post]
9 Oct 2007, 9:17 am
The smallest and most thinly traded stocks cannot meet the listing requirements of the NASDAQ Stock Market or a national exchange, such as the New York Stock Exchange. [read post]
8 Oct 2007, 5:34 pm
The National Association of Securities Dealers (NASD) recently absorbed the regulatory unit of the New York Stock Exchange (NYSE) and changed its name to the Financial Industry Regulatory Authority (FINRA). [read post]
5 Oct 2007, 5:10 am
China Digital TV Holding’s initial public offering on the New York Stock Exchange raised $192 million, pricing above the expected range. [read post]
4 Oct 2007, 10:09 pm
There was something very strange going on as these three leaders met to exchange dark sentences. [read post]
4 Oct 2007, 9:57 am
NYSE - The New York Stock Exchange(Photograph Copyright © 2005 by Andis Kaulins)Free file hosting from File DenSee NYSE Euronext generally for news and e.g. [read post]
1 Oct 2007, 9:47 pm
INTRODUCTION: In this Post-post-Enron era, people are moving from the regulatory boom to a new awareness of the costs of the Sarbanes-Oxley (SOX) Act.[1] One of this awareness is that SOX hurts the competitiveness of New York Stock Exchange (NYSE) in the cross-listing market. [read post]
1 Oct 2007, 5:16 am
After pricing below their expected range Thursday at $16, the shares opened at $17 on the New York Stock Exchange. [read post]
27 Sep 2007, 11:19 pm
This settlement was announced in a press release yesterday by FINRA, the Financial Industry Regulatory Authority, which was created by combining National Association of Securities Dealers (NASD) and New York Stock Exchange Member Regulation. [read post]
27 Sep 2007, 10:47 pm
INTRODUCTION: In this Post-post-Enron era, people are moving from the regulatory boom to a new awareness of the costs of the Sarbanes-Oxley (SOX) Act.[1] One of this awareness is that SOX hurts the competitiveness of New York Stock Exchange (NYSE) in the cross-listing market. [read post]
27 Sep 2007, 5:15 am
See Exchange Act Release No. 48825 n. 83 (Nov. 24, 2003)(“In this regard, information available to our Office of Economic Analysis indicates that, of the companies listed on the New York Stock Exchange, Nasdaq Stock Market and American Stock Exchange as of December 31, 2002, 57% had at least one institutional security holder that beneficially owned 5% of the common equity or similar securities and 1.4% had five or more… [read post]
26 Sep 2007, 9:53 am
Forge Consulting, LLC has continually advertised and represented to the public that it has "virtually unmatched financial and legal resources".Forge Consulting, LLC has ALSO held itself out on its website that it is a partner with the following past and current life insurers operating in the structured settlement industry: Allstate Life Insurance Company, Aviva Life Insurance Company, Allstate Life Insurance Company of New York, New York Life… [read post]
26 Sep 2007, 3:42 am
Invesco, the big fund management group, plans to switch its primary stock exchange listing from London to New York, because U.S. investors now hold more than 50 percent of its shares and it believes it will benefit more from a U.S. listing. [read post]
24 Sep 2007, 1:23 am
COURT OF APPEALS, SECOND CIRCUITBusiness LawCircuit Revives Investors' Market Integrity Misrepresentation Claim Against Stock Exchange In re: NYSE Specialists Securities LitigationU.S. [read post]
23 Sep 2007, 2:47 pm
The story was also picked up by their sister site law.com as well as footnoted in The New York Times' "DealBook. [read post]
