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15 Jul 2015, 5:30 pm
New York Probate Lawyers said this is the first New York decision to consider the effect of the recent AT & T divestiture on a bequest of AT & T stock. [read post]
7 May 2010, 10:43 am
andnbsp; The firms are Fagenson andamp; Co., Inc., of New York, which reported earning $44,000 in commissions from the sale of unregistered Universal Express stock and was fined $165,000; RBC Capital Markets Corporation, of New York, which earned $68,000 in commissions and was fined $135,000; Alpine Securities Corporation, of Salt Lake City, which earned $47,000 in commissions and was fined $40,000; Equity Station, Inc., of Boca Raton, which earned… [read post]
12 Jul 2019, 2:05 pm
Rawlings in the New York Office. [read post]
15 Mar 2018, 5:00 am
Merrill Lynch Charged With Gatekeeping Failures in the Unregistered Sales of SecuritiesThe SEC settled charges against Merrill Lynch, Pierce, Fenner & Smith Inc. for its failure to perform required gatekeeping functions in the unregistered sales of securities on behalf of a China-based issuer and its affiliates.NYSE to Pay $14 Million Penalty for Multiple ViolationsThe SEC charged the New York Stock Exchange and two affiliated exchanges with… [read post]
25 Mar 2021, 3:03 pm
The New York Times published an article two weeks ago titled Anguish, Determination, Hope: Travel Workers Despair a Lost Year. [read post]
1 Mar 2023, 9:01 pm
On February 22, 2023, the New York Stock Exchange and the Nasdaq Stock Market released their respective versions of a proposed rule that implements the SEC’s clawback rule mandated by Section 954 of the Dodd-Frank Act. [read post]
8 Aug 2018, 8:36 am
In a startling announcement, the Department of Justice and the Securities and Exchange Commission filed charges against Congressman Christopher Collins from New York. [read post]
13 Mar 2007, 11:08 pm
The regulatory arm of the New York Stock Exchange says UBS Securities is being fined $95,000 for canceling or entering limit-on-close and market-on-close orders in a number of securities after relevant cut-off times. [read post]
16 Jun 2021, 5:59 am
The New York Stock Exchange (“NYSE”) recently amended its rules regarding related party transaction approval requirements. [read post]
6 Jun 2016, 6:48 am
More than ten years have passed since the New York Stock Exchange (NYSE) began requiring annual evaluations for boards of directors and “key” committees (audit, compensation, nominating/governance), and many NASDAQ companies also conduct these evaluations annually as a matter of good governance. [1] With boards now firmly in the routine of doing annual evaluations, one challenge (as with any recurring activity) is to keep the process fresh and… [read post]
10 Jul 2015, 10:39 am
Earlier this week, the New York Stock Exchange halted trading for nearly four hours due to a technical “glitch”. [read post]
26 Apr 2018, 6:03 am
Spotify finally went public on April 3, following an unusual path known as “direct listing”—the shares started trading on the New York Stock Exchange, without any of the contractual or marketing arrangements that attend a typical IPO. [read post]
7 Oct 2010, 6:19 am
In the fall of 2009, the New York Stock Exchange formed a diverse and independent commission to examine core governance principles that could be widely supported by issuers, investors, directors, and other market participants. [read post]
29 May 2007, 1:55 pm
The New York Stock Exchange and Nasdaq require those same corporations to create corporate codes applicable to all employees.To encourage compliance and ethics training, Congress amended Section 8B2.1(B)(4) of the federal sentencing guidelines.All organizations are to take reasonable steps periodically to communicate their standards and procedures to employees, high-level personnel and members of the governing body. [read post]
11 Jul 2022, 7:59 am
In 1992, Senior consented to a censure and permanent bar from “membership or employment or association with any New York Stock Exchange member or member organization. [read post]
5 Jan 2021, 1:23 pm
The New York Stock Exchange (NYSE) backed off a plan to delist three Chinese telecommunications companies on Monday, a move that was incited by an executive order from US President Donald Trump. [read post]
4 Jan 2021, 5:08 am
The Chinese Ministry of Commerce said Saturday that it would take “necessary measures” to protect its enterprises’ interests, after the New York Stock Exchange (NYSE) announced Thursday that it had begun proceedings to delist three Chinese telecom firms. [read post]
26 Aug 2009, 5:02 pm
(ESDC) and localities have approved condemnation of property for a huge range of wealthy private entities, including the New York Stock Exchange, Costco, Stop & Shop and Columbia University. [read post]
7 Feb 2008, 8:48 am
Robinson — current CEO of the New York Times Company; noted expert on horrific business implosions Doreen A. [read post]
23 May 2024, 7:11 am
(ICE) and nine subsidiaries including the New York Stock Exchange (NYSE) agreed to pay a $10 million penalty to resolve SEC charges relating to notification of a cyber intrusion. [read post]
