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15 Feb 2022, 2:00 am
Check it out – it covers NYSE & Nasdaq listing standards for boards and committees, as well as SEC disclosure requirements relating to directors. [read post]
14 Feb 2022, 7:43 am
The company has been late on deadlines to file its annual report, which caused NASDAQ to threaten to delist the company. [read post]
14 Feb 2022, 7:24 am
” GWG noted it has “not yet received notice from Nasdaq regarding delisting. [read post]
9 Feb 2022, 3:00 am
Companies have leeway in deciding whether their code of ethics should meet the bare minimums required by Item 406 and NYSE and Nasdaq listing standards. [read post]
8 Feb 2022, 6:43 am
Harris explained that the new requirement, Nasdaq Rule 5605(f), is a comply or disclose rule. [read post]
2 Feb 2022, 4:19 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. [read post]
31 Jan 2022, 2:30 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. [read post]
31 Jan 2022, 3:35 am
Issuers are currently able to list rights on Nasdaq. [read post]
Investor Alert: Law Firm Iorio Altamirano LLP Investigates the Sale of L Bonds by Emerson Equity LLC
29 Jan 2022, 4:06 am
(Nasdaq: GWGH). [read post]
28 Jan 2022, 3:30 am
This recent Bass Berry blog discusses a recent comment letter exchange in which the Staff questioned a registrant’s conclusion that a director who also served as its corporate secretary was “independent” under applicable Nasdaq rules. [read post]
27 Jan 2022, 2:30 pm
In 2021, GWG missed financial reporting deadlines, and NASDAQ threatened to delist the company. [read post]
26 Jan 2022, 1:50 pm
(Nasdaq: GWGH) claims to be an innovative financial services firm based in Dallas that is a leader in providing liquidity solutions that are non-correlated to the traded markets, and unique services for the owners of illiquid investments. [read post]
26 Jan 2022, 11:36 am
Investors in securities sold by GWG Holdings (“GWGH”), including L Bonds 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. [read post]
26 Jan 2022, 3:15 am
Now this Fenwick memo reports that Nasdaq recently filed another amendment to its proposal: On January 6, 2022, Nasdaq filed an amended rule proposal with the U.S. [read post]
22 Jan 2022, 7:56 am
Beefed-up board diversity requirements in California, a new NASDAQ listing standard, and strengthening calls from investors made real the need for boards to have gender, racial, and ethnic diversity. 2021 saw the most diverse class of S&P 500 directors ever and signs point to that trend continuing. [read post]
21 Jan 2022, 12:59 pm
The SEC is investigating the company, which in 2021 missed key SEC filing deadlines, causing NASDAQ to formally notify the firm that it was not in compliance with listing requirements. [read post]
21 Jan 2022, 6:28 am
Yonker (Cornell University), on Monday, January 17, 2022 Tags: Board composition, Boards of Directors, California, Diversity, ESG, NASDAQ, NYSE, State law Key Proxy Statement Disclosure Trends: Board Evaluation Posted by Richard Fields (Russell Reynolds Associates) and Iain Poole (Argyle), on Monday, January 17, 2022 Tags: Board evaluation, Board performance, Boards of Directors, Index funds, Institutional… [read post]
19 Jan 2022, 6:39 pm
(Nasdaq: GWGH), as GWG Holdings defaulted on its obligation to bondholders and missed interest payments on January 15, 2022. [read post]
19 Jan 2022, 2:35 am
(Nasdaq: GWGH) and The Beneficient Company Group, L.P. [read post]
17 Jan 2022, 5:50 am
-based firms listed on either the NYSE or NASDAQ exchanges (about 3,100 firms per year) from the first quarter of 2013 through the end of September 2021. [read post]
