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17 Apr 2013, 1:43 pm
They are also now listed on the New York Stock Exchange, so compliance is very important to CNOOC. [read post]
5 Jan 2009, 7:00 am
Morgan and CIBC in connection with Enron's collapse; and the cases against AIG for its transactions with two different public companies; helped bring some of the agency's significant financial reporting cases involving foreign companies, including Parmalat, Royal Ahold, Royal Dutch Shell, Hollinger, TV Azteca and Vivendi; oversaw the agency's investigations that led to historic cases against the New York Stock Exchange, its specialist firms and… [read post]
17 Nov 2011, 8:06 am
The notice stated that broker-dealer firms that allow the use of any title or designation that conveys expertise in senior investments or retirement planning where such expertise does not exist may violate FINRA Rule 2010, NASD Rule 2210, New York Stock Exchange (NYSE) Rule 472, and anti-fraud provisions of the federal securities laws. [read post]
2 Mar 2015, 11:06 am
Indeed, Just days ago the offices of HiRise Engineering were raided by the New York attorney general's office, which is conducting a criminal investigation into HiRise as well as the insurance companies that hired them. [read post]
1 Feb 2012, 7:49 am
Alan Cowell at the Times reports from London that four Islamic militants have admitted that they were involved in a plot to bomb the London Stock Exchange. [read post]
13 Jul 2010, 10:14 am
She's got a voice that ranges between smoky-nightclub-after-midnight and Wall-Street trader-shouting-buy-or-sell-on-the-stock-exchange. [read post]
31 Oct 2016, 3:50 pm
Finally, on October 28, 2016, another shareholder plaintiff filed a securities class action lawsuit in the Southern District of New York against yet another of the poultry producers that had been named as a defendant in the antitrust lawsuit, Sanderson Farms, Inc. [read post]
26 May 2020, 4:45 pm
The United States District Court for the Southern District of New York granted the defendants’ motion to dismiss the complaint. [read post]
11 Jun 2007, 4:34 pm
There's also the NYSE, the New York Stock Exchange. [read post]
16 Sep 2024, 6:51 am
” “Philip Markin knew or was reckless in not knowing that the information was material and nonpublic, the Securities and Exchange Commission said in a complaint filed in the US District Court for the Southern District of New York. [read post]
19 Dec 2009, 7:05 am
On November 25, 2009, the Securities and Exchange Commission (”SEC”) approved amendments to the corporate governance listing standards of the New York Stock Exchange (”NYSE”). [read post]
27 Jan 2021, 1:44 pm
The new lawsuit against AstraZeneca is similar to certain of the other coronavirus-related securities lawsuit in another respect as well, in that it is filed in reliance on a relatively modest stock price drop – in this case, a drop of 5% in three trading days following the supposed corrective disclosure. [read post]
14 Mar 2010, 8:25 am
(go back) [7] The New York Stock Exchange rule changes eliminating broker discretionary voting in uncontested director elections are described in more detail in our memorandum to clients, dated July 2, 2009, entitled “SEC Approves NYSE Rule Eliminating Broker Discretionary Voting in Director Elections and Proposes Rules Expanding Compensation and Corporate Governance Disclosure and Establishing Shareholder Say-on-Pay Requirements for TARP Recip [read post]
2 Nov 2011, 5:38 pm
The alleged attacks were not only against government sites; they allegedly included, “according to a cyber-security specialist who has been tracking the incidents, . . . those run by the New York Stock Exchange, Nasdaq, The Washington Post, Amazon.com and MarketWatch. [read post]
8 Apr 2010, 3:40 am
” According to a 2007 New York Times article, Caserta "stopped working for InterOil in 2005. [read post]
17 Dec 2009, 6:33 am
The Risk Oversight Function of the Board of Directors A board’s risk oversight responsibility derives primarily from state law fiduciary duties, federal laws and regulations, stock exchange listing requirements, and certain established (and evolving) best practices: State Law Fiduciary Duties The Delaware courts have developed a framework for assessing whether board oversight of risk management, in any given case, satisfies the directors’ fiduciary duties. [read post]
5 Feb 2024, 5:21 pm
And Tornetta did not result in a cash judgment but the rescission of Musk’s unexercised stock options. [read post]
22 Apr 2016, 3:37 am
I envision someone completing this on a flight from Houston to New York, for instance. [read post]
22 Apr 2016, 3:37 am
I envision someone completing this on a flight from Houston to New York, for instance. [read post]
Underlining the Obvious: Remarks by Vice President Pence on the Administration’s Policy Toward China
4 Oct 2018, 8:05 pm
” In this strategy, President Trump made clear that the United States of America has adopted a new approach to China. [read post]
