Search for: "New York Stock Exchange"
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2 Dec 2020, 7:02 am
Although initially a non-traded real estate investment trust (non-traded REIT), and also an illiquid investment, ARC NYC REIT went public on the New York Stock Exchange (NYSE) in August. [read post]
27 Jan 2012, 4:01 pm
On January 25, 2012, the New York Stock Exchange issued an Information Memo to its member organizations stating that effective immediately, brokers may not vote on corporate governance proposals supported by company management without instructions from their clients. [read post]
10 May 2008, 7:00 am
Notably, stock brokers (Series 7 licensees, registered representatives, supervised by broker dealers) are required to adhere to FINRA (formerly NASD) rule 2310 regarding Suitability and the NYSE (New York Stock Exchange) rule 405 regarding "Know (and update) your Customer" as they relate to securities recommendations in contrast to the customer's cash flow needs, time horizon, age, tax bracket, tolerance for risk (fluctuation to… [read post]
30 Jul 2014, 12:36 pm
Calamari, Director of the SEC’s New York Regional Office. [read post]
13 Jan 2011, 11:45 pm
exchanges and promoted their stock afterward. [read post]
9 Nov 2009, 1:22 am
The court reached this conclusion despite the fact that CSG's investment banking division is located in New York, its risk management officers live and work in New York, the mortgage-backed securities that weighed down CSG's balance sheet were securitized and sold in New York and that the criminal ARS scheme was perpetrated in New York. [read post]
31 Oct 2013, 1:23 pm
He has worked as a consultant and expert witness on a wide variety of matters, including engagements in connection with securities litigations and arbitrations for the New York State Attorney General, the World Bank, the Organization of American States, the United States Agency for International Development, the Securities and Exchange Commission, and several prominent securities exchanges. [read post]
17 Apr 2008, 8:10 pm
District Court for the Southern District of New York on April 10, ex-Assent LLC registered broker Samuel Childs pled guilty to a conspiracy charge to commit securities fraud, wire fraud, and commercial bribery for agreeing to receive $100,000 in exchange for concealing insider trading activities from Assent senior executives. [read post]
1 Dec 2023, 10:24 am
Private Placements Private placements – securities that aren’t traded on a securities exchange like the New York Stock Exchange – pay a much higher commission than you’d see with a stock, bond, or mutual fund that is traded every moment of every day. [read post]
12 Nov 2014, 9:16 pm
The medical products company retained the Abbott name, and the research-based pharmaceuticals company was named AbbVie.[1][2] The separation was effective January 1, 2013[3] and AbbVie was officially listed on the New York Stock Exchange (ABBV) January 2, 2013The underlying issue, mentioned in the Alpha post isAbbVie cannot market Harvoni since it does not own patents on either individual drug in the combination, but can potentially compel royalty payments and… [read post]
27 Mar 2013, 12:36 pm
GateHouse was delisted from the New York Stock Exchange in 2008 because of its shaky financial picture, which includes a $30 million drop in sales last year compared to 2011 figures. [read post]
16 Nov 2007, 12:55 am
Copies of the final prospectus supplement together with the accompanying prospectus can be obtained at the SEC's website at http://www.sec.gov or from Wachovia Capital Markets, LLC, attention: Equity Syndicate Department, 375 Park Avenue, New York, NY 10152 or at equity.syndicate@wachovia.com. [read post]
2 Aug 2012, 8:37 am
In an echo of the 2010 Flash Crash, the technical issue impacted 150 New York Stock Exchange-listed stocks. [read post]
11 Sep 2008, 5:16 am
The so-called algorithmic trading mechanisms, which buy and sell stocks based on news headlines and earnings data, were responsible for roughly a quarter of New York Stock Exchange trades in the last week of August.From a legal perspective, this raises all sorts of questions about causation. [read post]
19 Aug 2021, 9:35 am
(Nasdaq, Rule 5605(f)).By implementing these new rules, Nasdaq has taken a step that other organizations, such as the SEC and the New York Stock Exchange, have not. [read post]
25 Oct 2009, 3:10 pm
New York Mercantile Exchange, Inc., et al., No. 3835-VCN (Del. [read post]
2 Apr 2024, 1:03 pm
(Dave Levinthal & Madison Hall, Business Insider; Kate Kelly et al., New York Times). [read post]
11 Feb 2011, 12:28 pm
The big exchanges like the New York Stock Exchange and the Nasdaq have been moving away from the simple listing and trading of stocks into more lucrative areas like futures, options and derivatives trading. [read post]
25 May 2007, 8:58 am
The Securities and Exchange Commission heard industry panelists raise concerns about the costs of, and suggest potential alternatives to, a proposed New York Stock Exchange rule to bar brokers from voting uninstructed shares in uncontested director elections. [read post]
3 Jul 2009, 11:31 am
Four of the brokers named in the lawsuit are from South Florida and two from New York. [read post]
