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9 Sep 2014, 10:29 am
In addition, companies pursuing (or considering) an initial public offering (“IPO”) should evaluate the All-Inclusive Annual Fee program when assessing whether it will list its shares on NASDAQ, The New York Stock Exchange, or some other exchange. [read post]
8 Oct 2007, 5:34 pm
The National Association of Securities Dealers (NASD) recently absorbed the regulatory unit of the New York Stock Exchange (NYSE) and changed its name to the Financial Industry Regulatory Authority (FINRA). [read post]
6 Mar 2016, 7:45 am
Effective February 19, 2016, the New York Stock Exchange LLC (“NYSE”) adopted a new rule to the NYSE Listed Company Manual (the “Manual”). [1] The new rule requires that foreign private issuers (“FPIs”) submit a Form 6-K to the Securities and Exchange Commission (“SEC”) that, at a minimum, includes (i) an interim balance sheet as of the end of its second fiscal quarter and (ii) a… [read post]
23 Nov 2015, 3:15 pm
On January 1, 2016, the New York Stock Exchange (“NYSE”) – now owned by Intercontinental Exchange, Inc. [read post]
29 Sep 2011, 2:57 pm
The New York Stock Exchange halted trading of Imperial Holding (NYSE: IFT) at 1:42 p.m. [read post]
29 Sep 2011, 2:57 pm
The New York Stock Exchange halted trading of Imperial Holding (NYSE: IFT) at 1:42 p.m. [read post]
22 Apr 2020, 5:54 am
Temporary waivers of related-party and 20% rules granted in light of COVID-19-related financing needs Recognizing that many companies will have “urgent liquidity needs” in the coming months as a result of economic and market conditions related to the spread of COVID-19, on Monday the New York Stock Exchange announced temporary waivers to some of its stockholder-approval requirements for stock issuances. [read post]
25 Jun 2018, 6:49 am
Wall Street watchdog accused of age discrimination (New York Post by Kevin Dugan)https://nyp.st/2tsw9pyThe New York Post article asserts in part that:The Financial Industry Regulatory Authority ousted roughly 20 senior employees after it lost a lucrative contract with the New York Stock Exchange, according to a lawsuit filed by one of the employees.Brian McIntyre, a former analyst at FINRA, claimed in court papers that each of… [read post]
2 Jan 2009, 3:24 pm
A recent New York Times article reports that according to new data, federal officials are prosecuting far fewer cases involving fraudulent stock scams than they did in 2000 before the Bush Administration came into office. [read post]
4 Jun 2020, 6:22 am
Summary In light of the impact of the COVID-19 pandemic, the New York Stock Exchange LLC (“NYSE”) filed notice of a proposed rule change on May 14 with the Securities and Exchange Commission (“SEC”), which became effective immediately. [1] Specifically, Section 312.03T (the “Temporary Rule”) of the NYSE Listed Company Manual (the “Manual”) provides a limited temporary exception from the application of the… [read post]
1 Feb 2023, 6:34 am
(Tripp Mickle, New York Times). [read post]
16 Mar 2023, 12:15 am
Yesterday, Liz Dunshee in The Proxy Season Blog addressed the question of whether motions to adjourn were considered "routine" for purposes of Rule 452 of the New York Stock Exchange. [read post]
13 Sep 2007, 3:35 pm
Schapiro, the Chief Executive Officer of the Financial Industry Regulatory Authority (FINRA), the regulatory body formed by the merger of the National Association of Securities Dealers and the regulatory arm of the New York Stock Exchange. [read post]
11 Apr 2011, 5:20 am
Unless you’re in the financial services industry, most Americans have no idea about the proposed merger between the New York Stock Exchange and Deutsche Börse (technically it will be a merger between NYSE Euronext, Inc., founded April 2007, and Deutsche Börse). [read post]
30 Nov 2014, 4:59 am
Most stock pump-and-dump schemes do not trade on nationally recognized exchanges such as The NASDAQ Stock Market or the New York Stock Exchange. [read post]
30 Apr 2014, 8:56 am
In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. [read post]
26 Feb 2024, 9:02 pm
JBS SA will have to wait until later this year for listings on the Brazilian and New York stock exchanges. [read post]
14 Jul 2008, 3:30 pm
The United States District Court for the Southern District of New York recently held that a U.S. court does not have subject matter jurisdiction over a lawsuit in which 90% of the proposed class is made up of foreign investors who purchased the securities at issue on foreign exchanges. [read post]
24 Oct 2022, 12:15 am
It was formed in 2007 by the combination of the National Association of Securities Dealers, Inc. and the regulatory arm of the New York Stock Exchange, Inc. [read post]
15 May 2008, 7:38 am
As you may be aware, in July 2007, the NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange were consolidated into the Financial Industry Regulatory Authority (FINRA). [read post]
