Search for: "New York Stock Exchange"
Results 3221 - 3240
of 3,454
Sort by Relevance
|
Sort by Date
24 Jul 2007, 4:46 pm
In one of its final regulatory acts before being folded into the NASD, the New York Stock Exchange's regulatory unit has censured and fined Smith Barney $50 million over illegal trades, failures to supervise and record-keeping violations. [read post]
24 Jul 2007, 11:37 am
The New York Stock Exchange hit Smith Barney with a $50 million fine for charges centered around market timing activities. [read post]
23 Jul 2007, 11:02 am
We've compiled a list of those most likely to be basking in “Spitzerfreude”: Dick Grasso: The former New York Stock Exchange chief, whose $187.5 million pay package was challenged by then AG Spitzer in 2004. [read post]
22 Jul 2007, 11:37 pm
Source: The New York Law Journal [read post]
18 Jul 2007, 1:39 pm
" Rather, he says, "difficulties are thrown in its way": Arbitration: "Do any of you trade on the New York stock exchange? [read post]
17 Jul 2007, 11:05 pm
Pogo, which agreed in May to sell its Northrock Resources unit for $2 billion to Abu Dhabi National Energy Co., saw the markets greet the announcement with enthusiasm as the comany's shares rose $7.02 (or 14%) to $57.50 as of 4 p.m. in New York Stock Exchange composite trading. [read post]
14 Jul 2007, 7:08 am
The New York Times had a story yesterday on how hedge funds are expanding into investments beyond stocks and bonds ... including art. [read post]
13 Jul 2007, 11:10 am
The two forums for arbitration of security disputes are the National Association of Securities Dealers and the New York Stock Exchange. [read post]
12 Jul 2007, 6:31 pm
Margin debt owed on stocks listed on the New York Stock Exchange has surpassed $350 billion. [read post]
11 Jul 2007, 7:58 am
Roger Freeman, an analyst at Lehman Brothers, says the recent weakness in shares of NYSE Euronext, formed out of the merger of the New York Stock Exchange and Euronext, has a lot to do with concerns that [...] [read post]
10 Jul 2007, 8:08 am
The Tellab shareholders were supported by the Council of Institutional Investors, the University of California, the New York State Retirement Fund, the labor-affiliated Amalgamated Bank, the National Conference on Public Employee Retirement Systems, and state officials from Ohio and 23 states and territories. [read post]
10 Jul 2007, 5:13 am
Sprint is valued at about $62 billion on the New York Stock Exchange, while SK Telecom’s market [...] [read post]
9 Jul 2007, 8:13 am
That was the big question Monday after LaBranche, one of the largest and oldest specialists on the New York Stock Exchange, said it hired advisers to hold a “review of [...] [read post]
9 Jul 2007, 8:03 am
In addition, the vote at CVS/Caremark has been cited by CtW, the Council of Institutional Investors (CII), and other investor groups that are lobbying for a New York Stock Exchange (NYSE) proposal to bar broker votes from board elections. [read post]
6 Jul 2007, 12:02 pm
Plenty of people took notice when the Blackstone Group’s new shares (more accurately called units) sank below their offer price of $31 just a few days after their much-anticipated opening on the New York Stock Exchange. [read post]
4 Jul 2007, 2:30 pm
.'PRI Report on Progress 2007', released today at the PRI annual event in Geneva, highlights the results of a survey carried out to mark the first anniversary of the launch of the Principles by UN Secretary-General Kofi Annan at the New York Stock Exchange in April 2006. [read post]
4 Jul 2007, 10:03 am
" Symetra said it expects to be listed on the New York Stock Exchange under the symbol "SYA". [read post]
3 Jul 2007, 7:36 pm
The announcement was made before the New York Stock Exchange's conference on deals and deal-making, hosted by the Wall Street Journal. [read post]
2 Jul 2007, 11:32 am
JUNE 15, 2007: NYSE FINED MORGAN STANLEY $500 THOUSAND FOR FAILURE TO SUPERVISE On June 15, 2007, the New York Stock Exchange fined Morgan Stanley $500,000 for failing to supervise a group of registered representative in its midtown Manhattan office. [read post]
29 Jun 2007, 2:23 pm
The New York Stock Exchange (NYSE) recently published, "Hedge Fund Investing -Is It a Suitable Investment For You? [read post]
