Search for: "New York Stock Exchange"
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18 Dec 2007, 10:44 pm
New York Stock Regulation Inc. announced its enforcement actions against four trading companies. [read post]
31 Mar 2009, 7:11 pm
By New York State Insurance Superintendent Eric Dinallo Published March 30, 2009 on the Financial Times (UK) Many compare this financial crisis to the stock market crash of 1929, but it is closer to the credit freeze and bank panic of 1907. [read post]
15 Aug 2011, 5:00 am
The Court required that the relevant security be traded on a US stock exchange or that the transaction occur in the US. [read post]
9 Oct 2015, 12:08 pm
Attorney’s Office for the Southern District of New York. [read post]
9 Sep 2021, 6:09 am
On August 16, the SEC entered a settlement agreement with Pearson plc, a UK-based educational publishing company that is publicly traded on both the London Stock Exchange and New York Stock Exchange via ADRs. [read post]
20 May 2011, 5:00 am
See Exchange Act Release No. 53382 (Feb. 27, 2006) (“Each member of the NYSE Group board of directors, other than the chief executive officer, must be independent from (i) NYSE Group and its subsidiaries, (ii) any member or member organization of New York Stock Exchange LLC or the Pacific Exchange, and (iii) any company whose securities are listed on New York Stock Exchange LLC or the Pacific… [read post]
15 Nov 2017, 4:28 am
Under the Securities and Exchange Commission’s Regulation D, an organization may issue a private offering of stock to raise funds without officially registering to “go public. [read post]
13 Oct 2021, 6:08 am
Choi is Bernard Petrie Professor of Law and Business at New York University; and Adam C. [read post]
23 Feb 2018, 12:00 pm
Mahoney in his 2015 book, Wasting A Crisis: Why Securities Regulation Fails, relied on the fact that the New York Stock Exchange (NYSE) imposed disclosure requirements in the 1920s to conclude that stories about poor pre-Act disclosure are “demonstrably wrong”. [read post]
27 Jul 2017, 11:05 am
Enlarge / Traders at the New York Stock Exchange beneath a monitor displaying Twitter's stock symbol in 2016. [read post]
21 Feb 2022, 6:59 am
I wrote an extensive post on this subject for the New York Daily News that you may find interesting. [read post]
25 Jul 2022, 4:22 am
That case is led by the Department of Justice in the US District Court Southern District of New York. [read post]
1 Jun 2016, 1:48 pm
The case stemmed from the work of the Enforcement Division’s Broker-Dealer Task Force, led by Associate Director Antonia Chion and New York Regional Office Director Andrew M. [read post]
8 Jul 2009, 7:56 pm
So far this blog has shown how InterOil (NYSE: IOC) filed false and misleading reports with the Securities and Exchange Commission and lied to the New York Times about its dealings with Carl Caserta who was banned by the SEC from the securities industry. [read post]
9 Oct 2007, 9:36 am
As the Court concluded an hourlong hearing in a vitally important securities case, there seemed hardly a chance — even a remote one — that federal law against stock fraud would be read to give investors a significant new tool to go after stock fraud themselves. [read post]
6 Aug 2009, 3:38 am
News Corp. stock (NWS) is trading at $12.56 a share on the NASDAQ exchange at this hour. [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]
23 Apr 2016, 9:00 pm
In exchange for shares of stock in a closely held corporation, defendant agreed to pay the total sum of $1,800,000 in monthly installments over the course of 15 years. [read post]
29 Sep 2014, 4:15 pm
Traditionally, the exclusive locales for stock trades were exchanges such as the New York Stock Exchange and NASDAQ. [read post]
23 Aug 2021, 4:26 pm
That shell company enters into service and other contracts with the China-based operating company, then issues shares on a foreign exchange, like the New York Stock Exchange. [read post]
