Search for: "NEW YORK STOCK EXCHANGE INC "NYSE""
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26 Sep 2019, 6:51 am
The Second Circuit has held that the execution of relevant trades on the New York Stock Exchange is sufficient to establish venue in the Southern District of New York under § 78aa. [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]
27 Apr 2020, 7:38 am
MCC has also reportedly received a notice from the New York Stock Exchange that its average daily common stock closing price was below $1.00 per share for 30 consecutive trading days, and was out of compliance with NYSE’s continued listing standard rules. [read post]
21 Feb 2023, 7:04 am
Its shares trade on the New York Stock Exchange (NYSE), and its largest shareholders include other major investment firms like The Vanguard Group, BlackRock Fund Advisors, and Berkshire Hathaway, Inc. [read post]
18 May 2017, 7:45 am
The company has been in discussions with the New York Stock Exchange (NYSE) to keep its current listing through the restructuring process. [read post]
24 Jul 2007, 4:46 pm
In one of its final regulatory acts before being folded into the NASD, the New York Stock Exchange's regulatory unit has censured and fined Smith Barney $50 million over illegal trades, failures to supervise and record-keeping violations. [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]
6 Sep 2018, 7:53 am
We have represented clients in Federal and state courts and in arbitration through the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange Inc. [read post]
29 Dec 2011, 5:00 am
In addition to state standards and Sarbanes-Oxley (“SOX”) requirements, the major U.S. stock exchanges each have their own standards for independence. [read post]
14 Feb 2023, 7:02 am
Headquartered in Midtown Manhattan, it is listed on the New York Stock Exchange (NYSE); and, despite a reported 10-percent pay cut due to declining profits, the firm’s CEO, James Gorman, reaped a $31.5 million salary in 2022. [read post]
25 Oct 2009, 3:10 pm
New York Mercantile Exchange, Inc., et al., No. 3835-VCN (Del. [read post]
23 Apr 2013, 7:23 am
The arbitration clause reads:any dispute, controversy or claim arising out of or based upon or relating to Employment Related Matters will be finally settled by arbitration in New York City before, and in accordance with the rules . . . of, the New York Stock Exchange, Inc. [read post]
7 Jul 2010, 5:00 am
Marram also sits on the Board of The New York Times Company and Eli Lilly and Company. [read post]
9 Oct 2007, 3:32 pm
According to the New York Stock Exchange (NYSE) enforcement wing, the violations occurred between July 1, 2003 and Oct 31, 2004. [read post]
28 Jun 2017, 7:11 am
He thinks that some brokers manage this conflict well, but others do not—and the ones that do not, end up making more money.Tom Farley, president of the New York Stock Exchange (NYSE) said he thinks that broker-dealers are conscientious actors who acknowledge an inherent conflict of interest regarding rebates. [read post]
19 May 2015, 7:30 am
On December 10, 2014, BPZ Resources stated that the company received notification from the New York Stock Exchange (NYSE) that the Company had fallen below the NYSE’s continued listing standards and would be delisted. [read post]
27 Jul 2021, 9:38 am
Based on the June 30 adjusted book values per share, the implied cash payment would reportedly be $0.99 per share and the total value would be $7.30 per share, representing an implied 20% premium to the last reported sale price of Capstead common stock on the New York Stock Exchange (“NYSE”) on July 23, 2021. [read post]
2 Aug 2019, 7:00 am
Uber will be listed on the New York Stock Exchange (“NYSE”), while Lyft will trade on the Nasdaq (Newcomer, Fortune). [read post]
20 Jun 2011, 5:00 am
Thomas Nides, was paid $75,104 for travel between his home in Washington D.C. and the Company’s offices in New York. [read post]
