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11 May 2017, 7:30 am
Also as a result of the wider spreads, trading costs are higher for test group stocks. [read post]
5 May 2017, 3:00 am
By the way, it’s official – Jay Clayton was sworn in yesterday afternoon as the SEC’s 32nd Chair by Justice Kennedy. [read post]
26 Apr 2017, 3:15 am
Aides to Jay Clayton, Mr. [read post]
17 Apr 2017, 5:27 am
Our friends at Cuba CounterPoints have published a great April issue XVI. [read post]
5 Apr 2017, 12:54 pm
Indeed, Jay Clayton, whom President Trump has nominated to chair the SEC, recently stated that “[w]e have to reduce the burdens on becoming a public company. [read post]
24 Mar 2017, 6:46 am
., on Tuesday, March 21, 2017 Tags: Dual-class stock, Equity-based compensation, Executive Compensation, Incentives, IPOs, Management, Say on pay, Shareholder voting, Tech companies Gender Diversity at Silicon Valley Public Companies 2016 Posted by David A. [read post]
25 Jan 2017, 3:00 am
Anyway, this Duane Morris blog points out a milestone in the history of the NYSE – the listing of its first cannabis-related stock: In a major positive step for the cannabis industry, the New York Stock Exchange last month listed a new real estate investment trust called Innovative Industrial Properties (NYSE:IIPR), the first cannabis company to be listed on a US national exchange. [read post]
10 Jan 2017, 5:55 am
Law Week / Bloomberg BNA] * What can we expect from the SEC if Sullivan & Cromwell partner Jay Clayton is confirmed as chair? [read post]
16 Nov 2016, 8:33 am
The post Broker-Dealer ProEquities, Inc. is Censured and Fined by FINRA for Inadequately Supervising Reps Selling Non-Traditional ETFs. appeared first on Stock Market Loss. [read post]
16 Nov 2016, 8:33 am
The post Broker-Dealer ProEquities, Inc. is Censured and Fined by FINRA for Inadequately Supervising Reps Selling Non-Traditional ETFs. appeared first on Stock Market Loss. [read post]
16 Nov 2016, 8:33 am
The post Broker-Dealer ProEquities, Inc. is Censured and Fined by FINRA for Inadequately Supervising Reps Selling Non-Traditional ETFs. appeared first on Stock Market Loss. [read post]
16 Nov 2016, 7:52 am
The post Assisting Former Clients of Cleveland-Area Stockbroker Dominic Tropiano appeared first on Stock Market Loss. [read post]
16 Nov 2016, 7:52 am
The post Assisting Former Clients of Cleveland-Area Stockbroker Dominic Tropiano appeared first on Stock Market Loss. [read post]
16 Nov 2016, 7:52 am
The post Assisting Former Clients of Cleveland-Area Stockbroker Dominic Tropiano appeared first on Stock Market Loss. [read post]
7 Nov 2016, 2:11 pm
The head of Skadden’s corporate restructuring group, Jay Goffman, Esq., had also been named as a Defendant. [read post]
7 Nov 2016, 2:11 pm
The head of Skadden’s corporate restructuring group, Jay Goffman, Esq., had also been named as a Defendant. [read post]
7 Nov 2016, 2:11 pm
The head of Skadden’s corporate restructuring group, Jay Goffman, Esq., had also been named as a Defendant. [read post]
4 Nov 2016, 12:47 pm
This article was originally posted on Stock Market Loss On October 17, 2016, broker-dealer ProEquities, Inc. of Birmingham, Alabama was censured and fined $165,000 by FINRA. [read post]
19 Oct 2016, 11:35 am
This article was originally posted on Stock Market Loss The Stockmarketloss investment fraud team at McCarthy, Lebit, Crystal & Liffman Co. [read post]
12 Oct 2016, 6:22 am
Posted by Jonathan Uslaner and Jai K. [read post]
