Search for: "New York Stock Exchange"
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21 May 2007, 10:18 pm
The New York Stock Exchange Regulation Inc. announced that RBC Dain Rauscher Inc. consented to be fined $90,000 for failures related to its anti-money laundering compliance program. [read post]
8 May 2020, 6:31 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5218/securities-industry-commentator/New York Stock Exchange to partially reopen May 26, with 'vital new safety measures,' president says (Bloomberg by Yun Li)Wall Street Heavyweights Are Sounding Alarm About Stocks (Bloomberg by Katherine Burton, Melissa Karsh, and Sophie… [read post]
27 Sep 2011, 6:35 pm
(NYSE:IFT) shares on the New York Stock Exchange were halted today after federal authorities raided the company's subsidiary Imperial Finance & Trading at its Boca Raton, Florida offices. [read post]
27 Sep 2011, 6:35 pm
(NYSE:IFT) shares on the New York Stock Exchange were halted today after federal authorities raided the company's subsidiary Imperial Finance & Trading at its Boca Raton, Florida offices. [read post]
24 Feb 2018, 7:16 am
On February 2, 2018, the SEC approved the New York Stock Exchange’s proposal to permit qualifying private companies to use “direct listings” to list their shares on the NYSE and become publicly traded without conducting an initial public offering so long as the direct listing is accompanied by a concurrent Securities Act resale registration statement. [read post]
12 Apr 2022, 12:56 pm
By Associated Press *** The 4-foot bronze Fearless Girl statue that was deposited in front of New York City’s Charging Bull in 2017 will remain in its current spot opposite the New York Stock Exchange at least until early next year while city officials wrestle with a permanent disposition for the popular symbol of female empowerment, a city board decided Monday. [read post]
18 Jan 2009, 10:04 am
The Wall Street Journal reports that Mexicon zillionaire Carlos Slim is dickering for a piece of the New York Times in exchange for preferred stock.Hello, preferred stock? [read post]
21 Apr 2020, 12:44 pm
The post Severance Agreements And Employment Separation Agreements in New York City During the Coronavirus Pandemic appeared first on New York Employment Attorney Blog. [read post]
16 Jan 2024, 4:00 am
Later in the decade, the pendulum swung toward a more liberal view of the Scaffold Law in Runner v New York Stock Exchange Inc. [read post]
24 Jan 2021, 3:35 am
Shortly before the end of his tenure as Chair of the Securities and Exchange Commission (SEC), Chair Jay Clayton presided over the SEC as it considered and approved the New York Stock Exchange’s (NYSE) proposed rule change modifying the NYSE’s rules in order to permit, as described below, primary issuances in connection with a direct listing of a class of the issuer’s equity securities on the exchange. [read post]
31 Oct 2012, 6:02 am
* Shashank Tripathi appears to be behind the fake tweets about the flooding of the New York Stock Exchange. [read post]
31 May 2014, 11:35 am
The UNGC press release follows:Global Compact Invites Business Comment on Stock Exchange Proposal (22 May 2014, New York) – Institutional investors have put forth a proposal to the World Federation of Exchanges (WFE) – a trade association of 62 publicly regulated stock, futures and options exchanges – that would require extra-financial disclosure among companies listed on member exchanges. [read post]
23 Jan 2004, 4:28 am
LLC, the largest share dealer on the New York Stock Exchange, and Dutch market maker Van der Moolen Holding have received a Wells Notice which indicates that the SEC was considering civil charges for alleged trading violations. [read post]
25 Jul 2014, 9:35 am
On July 22, 2014, the Securities and Exchange Commission (“SEC”) charged Kevin McGrath (“McGrath”), a partner and account executive at Cameron Associates (“Cameron”), an investor relations firm in New York City, with insider trading on confidential nonpublic information he learned about two Cameron clients for whom McGrath was performing work. [read post]
29 Nov 2021, 6:04 am
The Securities and Exchange Commission and the New York Stock Exchange first advocated for separate audit committees following the McKesson & Robbins scandal of 1938 (Birkett, 1986). [read post]
4 May 2009, 3:29 am
Friday in a column in The New York Times. ... invest DK New York. [read post]
11 May 2009, 5:19 am
Friday in a column in The New York Times. ... invest DK New York. [read post]
15 Feb 2009, 6:51 am
Friday in a column in The New York Times. ... invest DK New York. [read post]
25 Jun 2008, 12:45 pm
Possibly because earlier today he inched closer to being able to retain at least a portion of his $187 million compensation package, granted to him by his former employer, the New York Stock Exchange. [read post]
4 Mar 2007, 5:24 pm
New York Attorney General Andrew Cuomo is bringing in a hired gun to help it try its high-profile suit against former New York Stock Exchange CEO Dick Grasso, along with other cases. [read post]
