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20 Sep 2007, 2:50 pm
Also in July, the New York Stock Exchange hit Smith Barney with a $50 million fine for charges centered around market timing activities. [read post]
20 Sep 2007, 5:19 am
The government-controlled stock exchange in Dubai, the fast-growing Middle East business center, announced Thursday in Stockholm that it plans to take significant ownership in the Nasdaq Stock Market in New York and the London Stock Exchange, The New York Times reported. [read post]
19 Sep 2007, 7:39 am
It's already Wednesday, if you can believe it, and time for weekly round up of interesting New York legal news: September 11 damages cases against airlines settle (Reuters) Dan Rather files lawsuit against CBS (AP) New York city, state sue Merck over Vioxx (AP) New York Subpoenas 5 Energy Companies (NY Times) NY Judges Sue for Pay Raise (AP) 2nd Circuit Revives Misconduct Claim Against New York Stock… [read post]
19 Sep 2007, 1:52 am
If you are already an online subscriber to New York Law Journal you should be able to click on any of the links provided below, sign in, and access the full text of articles listed
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Judge Bars Key Break-In Proof in Police Case
New York Law Journal
Circuit Revives Misconduct Claim Against Stock Exchange
New York Law… [read post]
19 Sep 2007, 1:11 am
2nd Circuit Revives Misconduct Claim Against New York Stock Exchange
New York Law Journal
The 2nd Circuit has revived the claim of the California Public Employees' Retirement System and other institutional investors that the New York Stock Exchange engaged in misconduct in its dealings with seven firms that process stock transactions, misrepresenting its market… [read post]
18 Sep 2007, 3:42 pm
As Blawgletter noted earlier today, the Second Circuit held that the New York Stock Exchange lacks "absolute immunity" as a quasi-governmental regulator if it makes false representations about securities trading. [read post]
18 Sep 2007, 3:15 pm
The Second Circuit today upheld the district court's conclusion that the New York Stock Exchange enjoyed absolute immunity for missteps as a quasi-governmental regulator of securities traders. [read post]
13 Sep 2007, 3:35 pm
Schapiro, the Chief Executive Officer of the Financial Industry Regulatory Authority (FINRA), the regulatory body formed by the merger of the National Association of Securities Dealers and the regulatory arm of the New York Stock Exchange. [read post]
11 Sep 2007, 4:53 am
China Security and Surveillance Technology, a fast-growing company that installs and sometimes operates surveillance systems for Chinese police agencies, jails and banks, among other customers, has just been approved for a listing on the New York Stock Exchange. [read post]
10 Sep 2007, 1:02 am
Sullivan to its New York office. [read post]
5 Sep 2007, 1:20 am
Board: 400 Bar Exam Takers Submitted Incomplete Essays
New York Law Journal
The New York Board of Law Examiners and Software Secure Inc., the company the board hired to provide software for the bar exam, appear to have incomplete essays from about 400 people who sat for July's exam. [read post]
24 Aug 2007, 8:04 am
Ten months after the New York Stock Exchange (NYSE) first proposed the elimination of discretionary broker voting in board elections, investors are still waiting for the Securities and Exchange Commission to address the issue. [read post]
24 Aug 2007, 1:01 am
The lawsuits follow the company's disclosures earlier this year to the Securities and Exchange Commission that it was looking into its stock options granting practices for its executives. [read post]
21 Aug 2007, 8:01 pm
The Class A shares gained $2,200, or 1.9%, yesterday in 4 p.m. composite trading on the New York Stock Exchange to $120,700, up 8.2% since Aug. 10 and 9.7% higher in the year to date. [read post]
19 Aug 2007, 1:00 pm
Securities and Exchange Commission. [read post]
19 Aug 2007, 6:00 am
Securities and Exchange Commission. [read post]
19 Aug 2007, 6:00 am
Securities and Exchange Commission. [read post]
17 Aug 2007, 5:24 am
(Well, it was this evening for me in New York, but for Andrew it was tomorrow morning.) [read post]
16 Aug 2007, 8:31 am
The New York Stock Exchange (NYSE) has issued an Informed Investor Publication entitled, What You Should Know About Exchange Traded Funds. [read post]
16 Aug 2007, 4:08 am
The video game maker Take-Two Interactive said Wednesday that it might face civil charges and fines from the Securities and Exchange Commission for backdating stock options. [read post]
