Search for: "New York Stock Exchange"
Results 801 - 820
of 3,451
Sorted by Relevance
|
Sort by Date
16 Sep 2014, 11:17 am
SuttonBrook Capital Management – The New York-based firm agreed to pay disgorgement of $70,000. [read post]
10 Aug 2021, 3:17 pm
John CheffersIn the following guest post, John Cheffers analyzes the data relating to cybersecurity incidents at companies listed on Nasdaq and New York Stock Exchange. [read post]
14 Feb 2007, 6:23 am
Ryan Ashley Brant, United States District Court for the Southern District of New York, Civil Action No. 1:07-CV-1075 (DLC) (S.D.N.Y. [read post]
3 Feb 2012, 5:23 am
Avoiding: The Securities and Exchange Commission has allowed Wall Street's biggest firms to avoid punishment targeted specifically for fraud cases, The New York Times reports. [read post]
4 Feb 2022, 6:10 am
More specifically, the court explained that Barclays traders in New York and Japan executed the purchase of Toshiba’s common stock, a precursor event for conversion of those shares into ADRs.In its class certification order, the district court emphasized Toshiba’s argument that AIPTF was an atypical plaintiff because the shares underlying its ADRs were purchased on a Japanese exchange. [read post]
10 Apr 2007, 12:12 pm
At a time when The New York Stock Exchange is paying-off National Association of Securities Dealers members to take over its compliance responsibilities, private firms are seeking to reduce oversight evern further. [read post]
27 Sep 2011, 3:49 pm
In the news: New York Times: Wall Street Demonstrations Test Police Trained for Bigger Threats New York Daily News: Wall Street protesters cuffed, pepper-sprayed during 'inequality' march Learn more about protestors' rights: Sign up for breaking news alerts, follow us on Twitter, and like us on Facebook. [read post]
27 Sep 2011, 3:49 pm
In the news: New York Times: Wall Street Demonstrations Test Police Trained for Bigger Threats New York Daily News: Wall Street protesters cuffed, pepper-sprayed during 'inequality' march Learn more about protestors' rights: Sign up for breaking news alerts, follow us on Twitter, and like us on Facebook. [read post]
26 Mar 2020, 1:42 pm
Action was taken by FINRA, the NASDAQ Stock Market, the New York Stock Exchange, Cboe Global Markets, and certain of their various affiliated Exchanges. [read post]
9 Jan 2012, 9:01 am
He represented New York Stock Exchange chief executive Richard Grasso in a civil trial brought in 2004 by former New York state attorney general Eliot Spitzer to recoup much of Grasso’s $187.5 million pay package. [read post]
23 Jun 2010, 5:48 am
AP 248 U.S. 215 (1918), agreed, issuing an injunction . . . forbidding the dissemination of the Firms’ Recommendations until one half-hour after the opening of the New York Stock Exchange or 10:00 a.m., whichever is later. [read post]
24 Aug 2019, 6:26 am
(Susan Holmberg, The New York Times). [read post]
1 Mar 2016, 7:32 am
The SEC fined the New York Stock Exchange and its parent NYSE Euronext in 2012 for violating Regulation NMS. [read post]
6 Oct 2013, 7:25 am
District Court in the Southern District of New York on Friday against BlackBerry and some of its executives, including chief executive Thorsten Heins and chief financial officer Brian Bidulka. [read post]
10 Feb 2017, 1:20 pm
On January 25, 2017, the Securities and Exchange Commission (“SEC”) instituted public administrative cease and desist proceedings pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”), Sections 15(b) and 21C of the Securities Exchange Act of 1934 (“Exchange Act”), and Section 9(b) of the Investment Company Act of 1940 (“Investment Company Act”) (the “Order”) against New York… [read post]
10 Feb 2017, 1:20 pm
On January 25, 2017, the Securities and Exchange Commission (“SEC”) instituted public administrative cease and desist proceedings pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”), Sections 15(b) and 21C of the Securities Exchange Act of 1934 (“Exchange Act”), and Section 9(b) of the Investment Company Act of 1940 (“Investment Company Act”) (the “Order”) against New York… [read post]
4 Jan 2007, 3:28 am
This agreement will give News Corporation an approximate $11 billion stock buyback. [read post]
28 Jan 2016, 11:46 am
Smith Jr. of the New York office. [read post]
3 Mar 2024, 2:39 pm
” But the biggest peril to JBS USA may be reputational risk by a coterie of environmental groups that have publicly sought to halt the company’s planned listing on the New York Stock Exchange. [read post]
24 Aug 2015, 12:24 pm
Traders work on the floor of the New York Stock Exchange (NYSE) in New York, U.S., on Wednesday, Jan. 30, 2014. [read post]
