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8 Mar 2022, 9:00 pm
This WilmerHale memo (p. 13) addresses SEC & Nasdaq rules, proxy advisor & institutional investor policies, state law requirements and other drivers of increased board diversity that need to be considered in the IPO planning process. [read post]
8 Mar 2022, 3:39 pm
Their departure from the NYSE and NASDAQ will often come at a cost to U.S. investors, as their controlling shareholders relist their companies in China at higher valuations. [read post]
7 Mar 2022, 1:15 pm
The California law and the Nasdaq rule arguably make these various individual board diversity lawsuits superfluous. [read post]
7 Mar 2022, 12:43 pm
GWG (Nasdaq: GWGH) stated on April 6 that it received a letter from the Nasdaq Stock Market notifying the company that it was not in compliance “as a result of not having timely filed its Annual Report on Form 10-K for the fiscal year ended December 31, 2021. [read post]
7 Mar 2022, 8:44 am
In 2021, GWG missed financial reporting deadlines, which caused NASDAQ to threaten to delist the company. [read post]
7 Mar 2022, 6:03 am
Related research from the Program on Corporate Governance includes Politics and Gender in the Executive Suite by Alma Cohen, Moshe Hazan, and David Weiss (discussed on the Forum here); and and Will Nasdaq’s Diversity Rules Harm Investors? [read post]
5 Mar 2022, 5:05 am
Related research from the Program on Corporate Governance includes Politics and Gender in the Executive Suite by Alma Cohen, Moshe Hazan, and David Weiss (discussed on the Forum here); and Will Nasdaq’s Diversity Rules Harm Investors? [read post]
4 Mar 2022, 6:01 am
Posted by Martin Gelter (Fordham University), on Wednesday, March 2, 2022 Tags: COVID-19, Globalization, Institutional Investors, International governance, Protectionism, Stakeholders Board Disclosure of Race and Ethnicity Gains Traction Posted by Susan Angele, Annalisa Barrett, and Stephen Brown, KPMG, on Wednesday, March 2, 2022 Tags: Boards of Directors, Disclosure, Diversity, ESG, Human capital, Listing… [read post]
2 Mar 2022, 10:34 am
New corporate governance and leadership standards were recently adopted by Nasdaq. [read post]
2 Mar 2022, 6:03 am
Nasdaq’s Board Diversity Rule is poised to have the most widespread impact to date, which will require most companies listed on its U.S. exchange to annually disclose board diversity statistics using a standardized template and to have at least two diverse directors or explain why they do not. [read post]
22 Feb 2022, 9:32 am
The leveraged ETFs in question reportedly included Proshares Ultra QQQ and Proshares Ultra S&P 500, which sought daily investment results corresponding to two times the single-day returns of the Nasdaq-100 and the S&P 500 Index, according to the complaint. [read post]
21 Feb 2022, 10:00 am
He, his children, and his relatives are accused of massive credit card purchases that were paid for by the publicly traded FAT Brands (NASDAQ: FAT). [read post]
20 Feb 2022, 9:13 am
Related research from the Program on Corporate Governance includes Politics and Gender in the Executive Suite by Alma Cohen, Moshe Hazan, and David Weiss (discussed on the Forum here); and Will Nasdaq’s Diversity Rules Harm Investors? [read post]
18 Feb 2022, 5:21 pm
By Anne Sherry, J.D.A lawsuit alleging that an underwriter participated in a scheme to subvert Nasdaq’s listing requirements failed to allege scienter. [read post]
18 Feb 2022, 1:37 pm
(Nasdaq, Rule 5605(f); Bre Bradham and Patrica Hurtado, Bloomberg Law). [read post]
18 Feb 2022, 9:23 am
Legal and Regulatory Developments SPOTLIGHT: Visa Had a Monopoly on Payments at the Olympics for 36 Years. [read post]
18 Feb 2022, 7:37 am
Meihua International Medical Technologies, a global medical supplier, is planning to debut this week on the Nasdaq. [read post]
17 Feb 2022, 3:15 am
The blog recounts the unsuccessful efforts to persuade Nasdaq to include individuals with disabilities in the Diversity Matrix required by its new diversity rule. [read post]
15 Feb 2022, 3:30 pm
Investors in securities sold by GWG Holdings (“GWGH”), including L Bonds, preferred stock, and common stock listed on Nasdaq under the ticker symbol GWGH, may have legal claims, including possible claims if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. 30 days after missing interest and principal payments that were due to be paid… [read post]
15 Feb 2022, 2:05 pm
As I have noted in prior posts on this site, the surge in special purpose acquisition corporation (SPAC) IPO transactions over the last two years has also meant a wave of SPAC-related lawsuits. [read post]
