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27 Oct 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) announced on October 26, 2022, that it has adopted new rules directing national securities exchanges, including the New York Stock Exchange and Nasdaq, to establish listing standards requiring companies to implement ”clawback” policies providing for the recovery of incentive-based compensation in the event of a required accounting restatement, and requiring companies to provide related disclosure. [read post]
27 Oct 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) announced on October 26, 2022, that it has adopted new rules directing national securities exchanges, including the New York Stock Exchange and Nasdaq, to establish listing standards requiring companies to implement ”clawback” policies providing for the recovery of incentive-based compensation in the event of a required accounting restatement, and requiring companies to provide related disclosure. [read post]
25 Oct 2022, 9:03 pm
Under its new board diversity disclosure rule, the SEC permitted Nasdaq to require companies listed on its stock exchange to disclose directors’ LGBTQ+ self-identification. [read post]
25 Oct 2022, 12:49 pm
., a Nasdaq-listed cannabis company based in Toronto, for improperly accounting for millions of dollars of revenue and for other accounting misconduct in multiple reporting periods. [read post]
24 Oct 2022, 1:40 pm
., a Nasdaq-listed cannabis company based in Toronto, for improperly accounting for millions of dollars of revenue and for other accounting misconduct in multiple reporting periods. [read post]
21 Oct 2022, 3:30 am
In today’s ecosystem, companies are more likely than ever to be faced with the potential for investigation or other enforcement action by any number of regulatory bodies — whether it be the SEC, FINRA, NASDAQ, DOJ, FTC, OSHA, and so on. [read post]
10 Oct 2022, 12:36 pm
The securities of the combined company, re-named Opendoor Technologies, Inc. began trading on Nasdaq on December 21, 2020. [read post]
10 Oct 2022, 4:00 am
Both the Dow Jones Industrial Average and the tech-heavy Nasdaq Composite Index posted similar gains to start the month, feeding cautious hopes of a year-end rally. [read post]
6 Oct 2022, 6:31 am
Federal Reserve enacted its second consecutive 75 basis point interest rate increase, following a similar increase in the previous month. [1] These factors, when combined with an inverted yield curve, early signs of a softening labor market and a second consecutive quarterly decline in GDP, have exacerbated investors’ concerns of a looming recession. [2] [3] While the market has gained some ground from the lows of summer, as of September 1, 2022, the Dow Jones Industrial Average… [read post]
3 Oct 2022, 10:47 am
(Nasdaq GWGH) Securities Fraud Investigation The White Law Group continues to investigate potential securities claims involving broker dealers who may have improperly recommended GWG L Bonds to investors. [read post]
3 Oct 2022, 8:20 am
In 2021, GWG missed financial reporting deadlines, and NASDAQ threatened to delist the company. [read post]
27 Sep 2022, 5:43 pm
We have seen it all; from the Tech Wreck, where investors were torched by the advice to put their entire retirement funds into NASDAQ darlings; to the Financial Crisis where Wall Street engineers manufactured every sort of derivative possible to off load their risk onto the accounts of retirees and investors alike. [read post]
27 Sep 2022, 6:31 am
Related research from the Program on Corporate Governance includes Politics and Gender in the Executive Suite (discussed on the Forum here) by Alma Cohen, Moshe Hazan, and David Weiss; Will Nasdaq’s Diversity Rules Harm Investors? [read post]
27 Sep 2022, 3:03 am
As the 2022 edition of Deloitte’s “Audit Committee Guide” points out, NYSE and Nasdaq rules require that an independent board committee review & oversee related-party transactions – and that responsibility often falls to the audit committee. [read post]
23 Sep 2022, 6:31 am
With developments like the new Nasdaq listing requirement, we are already seeing some positive changes. [read post]
20 Sep 2022, 1:08 pm
Ross Stores is an S&P 500, Fortune 500, and Nasdaq 100 ... [read post]
15 Sep 2022, 6:34 am
Nasdaq’s ESG Reporting Guide is a leading standard within the global capital markets for companies implementing ESG policies and metrics. [read post]
12 Sep 2022, 9:05 pm
Nasdaq added, however, that delisting was unlikely for any company that fell short. [read post]
9 Sep 2022, 2:23 pm
” The lawsuit, filed in 2019, accused the fisheries of rigging the global salmon market by manipulating a Nasdaq benchmark index pegged to the fish’s daily “spot” price in Oslo. [read post]
6 Sep 2022, 6:30 am
Following the deal, which saw Constellation begin trading on the Nasdaq in February, the newly formed company has committed to a carbon-free future—aiming to achieve 95% carbon-free electricity by 2030, and 100% by 2040. [read post]
