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21 Feb 2024, 10:14 am
This privilege, WSJ noted, is "normally" reserved for "big investors" who can stand to hugely profit if the share prices dramatically rise after Reddit begins listing shares on the New York Stock Exchange (NYSE), which is expected to happen this March.Read 20 remaining paragraphs | Comments [read post]
21 Feb 2024, 7:45 am
Smith, Jr. of the SEC’s New York regional office, emphasized, “Reg BI protects retail investors by requiring broker-dealers to act in the best interest of their customers when making recommendations, and today’s action demonstrates our commitment to ensuring compliance. [read post]
14 Feb 2024, 4:15 pm
Bamofin Abimbola Ogunbanjo, former chair of the Nigerian stock exchange, was also killed. [read post]
13 Feb 2024, 9:05 pm
This total excludes rules of the stock exchanges, which number in the thousands each year, in all administrations. [read post]
7 Feb 2024, 6:30 am
Several banks, including New York Community Bancorp (NYCB), suffered significant stock price drops after the banks last week announced steep increases in their loss reserves in their commercial real estate portfolios. [read post]
6 Feb 2024, 1:46 pm
The company’s American depositary shares formerly traded on the New York Stock Exchange. [read post]
5 Feb 2024, 5:21 pm
And Tornetta did not result in a cash judgment but the rescission of Musk’s unexercised stock options. [read post]
5 Feb 2024, 2:05 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
4 Feb 2024, 9:01 pm
Annex SAMPLE RESOLUTION – SUBSIDIARY COMPENSATION RECOUPMENT POLICY WHEREAS, [Issuer Subsidiary] (“Subsidiary Issuer”) is a [wholly owned] subsidiary of [Listed Pubco] that may issue securities that may be traded on [the New York Stock Exchange][Nasdaq][, with Subsidiary Issuer’s payment obligations on such securities fully and unconditionally guaranteed by [Listed Pubco]]; WHEREAS, [Listed Pubco] has previously adopted the [Listed… [read post]
31 Jan 2024, 9:05 pm
Securities and Exchange Commission. https://www.sec.gov/news/public-statement/lee-crenshaw-listings-2020-12-23 This post comes to us from Anna Bergman Brown at Clarkson University, Donal Byard at Baruch College – City University of New York (CUNY), and Jangwon Suh at Queens College – CUNY. [read post]
31 Jan 2024, 9:01 pm
District Court for the Southern District of New York granted Macquarie’s motion to dismiss, holding that the plaintiffs had failed to plead an actionable misstatement or omission, a violation of Item 303, and scienter. [read post]
29 Jan 2024, 12:00 pm
Morgan Stanley Background Morgan Stanley (CRD#: 149777/SEC#: 801-70103,8-68191), based in Purchase, New York, is a dual registered broker dealer and investment advisory firm. [read post]
29 Jan 2024, 10:47 am
Truck Insurance Exchange v. [read post]
29 Jan 2024, 4:46 am
” The Court wrote that “New York courts typically find the purposes stated in a corporation’s certificate of incorporation relevant to a determination of what constitutes that corporation’s normal or usual course of business. [read post]
28 Jan 2024, 9:01 pm
The Glass Lewis clawback is much broader than is mandated by the stock exchange listing standards and may have unintended negative consequences. [read post]
26 Jan 2024, 1:40 pm
The intruders created new online customer profiles and accessed account documents. [read post]
24 Jan 2024, 3:52 pm
Continue reading The post American Healthcare REIT May List Shares on New York Stock Exchange appeared first on Investor Lawyers Blog. [read post]
24 Jan 2024, 1:47 pm
(CRD#: 10641/SEC#: 801-42709,8-27844), a subsidiary of Atria Wealth, is a dual registered broker dealer and investment advisory firm headquartered in Syracuse, New York. [read post]
23 Jan 2024, 9:01 pm
The $1 billion settlement – approved by the Southern District of New York on September 8, 2023 – is one of the Top 20 largest of all time. [read post]
23 Jan 2024, 8:49 am
On 7/28/2004, the New York Stock Exchange (NYSE) sanctioned Fasciglione for failing to supervise and other violations. [read post]
