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3 Jan 2011, 5:50 pm
Last week the New York Times published an article (http://dealbook.nytimes.com/2010/12/27/stock-trading-in-private-companies-draws-scrutiny/? [read post]
16 Oct 2018, 12:36 pm
As a result of the acquisition, Envision became a wholly owned subsidiary of funds affiliated with KKR and Envision’s common stock ceased trading on the New York Stock Exchange. [read post]
16 Oct 2018, 12:36 pm
As a result of the acquisition, Envision became a wholly owned subsidiary of funds affiliated with KKR and Envision’s common stock ceased trading on the New York Stock Exchange. [read post]
21 Sep 2022, 9:55 am
The São Paulo-based company, whose shares are traded on the New York Stock Exchange, consented to a cease-and-desist order with the SEC finding that it violated the anti-bribery, books and records, and internal accounting controls provisions of the Foreign Corrupt Practices Act (FCPA), and entered into a three-year deferred prosecution agreement (DPA) with DOJ to settle criminal charges for conspiracy to violate the anti-bribery and books and records… [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]
15 Nov 2011, 12:00 am
The SEC approved similar new listing requirements for the New York Stock Exchange and the NYSE Amex (here and here). [read post]
12 Jan 2024, 8:56 am
Attorney’s Office for the Southern District of New York, the FBI, and the Financial Industry Regulatory Authority. [read post]
16 Jul 2008, 10:45 am
Five weeks later, two dozen stockbrokers banded together to sign the Buttonwood Agreement, which created what became the New York Stock Exchange, where short selling occurred with abandon. [read post]
12 Mar 2021, 11:01 am
(CRD #15007, New York, NY) a mid-sized broker-dealer based in New York City. [read post]
12 Mar 2021, 11:01 am
(CRD #15007, New York, NY) a mid-sized broker-dealer based in New York City. [read post]
31 Mar 2008, 2:52 pm
Several collateral arguments were also raised with respect to obtainment of compulsory process with respect to witnesses located in New York, particularly federal witnesses and the intersection of New York Stock Exchange Rules with Delaware law. [read post]
17 Aug 2009, 8:52 pm
Defendant is organized under the laws of Canada, headquartered in England, and operates in several countries; 80% of the company’s stock is traded on the Toronto Stock Exchange (TSX), and 20% is traded on the New York Stock Exchange (NYSE). [read post]
27 Aug 2024, 9:01 pm
SDNY Judge Holds SEC Failed to Adequately Plead Risk Disclosure and Controls Claims in SolarWinds On July 18, 2024, the United States District Court for the Southern District of New York issued an opinion in Securities and Exchange Commission v. [read post]
23 May 2012, 5:26 am
But Google is also superb at getting out of trouble, The New York Times reports. [read post]
30 Mar 2010, 10:34 am
In July 2007 the Financial Industry Regulatory Authority (FINRA) was created through the consolidation of the National Association of Securities Dealers (NASD) and the member regulation, enforcement and arbitration functions of the New York Stock Exchange (NYSE). [read post]
16 Feb 2009, 1:50 pm
By PAMELA YIP / The Dallas Morning News pyip@dallasnews.comhttp://www.dallasnews.com/sharedcontent/dws/bus/personalfinance/stories/021609dnbus.3d34a56.html The massive fraud allegedly committed by New York investment manager Bernard Madoff is the nightmare that investors dread. [read post]
16 May 2011, 5:36 am
DOJ said the acquisition "would have substantially eliminated competition for corporate stock listing services, opening and closing stock auction services, off-exchange stock trade reporting services and real-time proprietary equity data products. [read post]
22 Aug 2012, 3:45 pm
Sept. 30, 2009), stockholders brought a class action alleging, inter alia, that the chairman of the New York Mercantile Exchange (“NYMEX”) breached his fiduciary duties by rejecting a proposed acquisition of NYMEX by the NYSE and favoring a merger with the Chicago Mercantile Exchange in order to secure a continued position with the exchange. [read post]
5 Mar 2018, 6:54 am
On February 23, 2016, Wins represented in an SEC filing that its principal executive offices were located in New York City. [read post]
5 Jan 2007, 12:38 pm
As tracked by the New York Stock Exchange, margin debt rose to $270.52 billion in November from $221.66 billion at the end of 2005, the first time in more than six years that margin debt has topped $270 billion. [read post]
