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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]
19 Jan 2024, 6:54 am
By John Filar AtwoodThe New York Stock Exchange has officially withdrawn its proposed rule change that would have allowed “natural asset companies” (NACs) to trade on the exchange. [read post]
18 Jan 2024, 1:30 pm
Headquartered in New York, Cabot Lodge employs approximately 182 registered representatives in approximately 117 branch offices. [read post]
18 Jan 2024, 11:13 am
SAP, for example, is based in Germany but has American Depositary Shares listed on the New York Stock Exchange. [read post]
16 Jan 2024, 1:19 pm
District Court for the Southern District of New York, “[a]s the assembled case law reflects, to the extent that open-market securities fraud complaints use as the source for adverse factual allegations about a public issuer a report by a short seller — an entity with an economic interest in driving down the company’s stock price — these allegations must be considered with caution. [read post]
16 Jan 2024, 6:35 am
Last September, the New York Stock Exchange filed a proposal to change its rules to adopt a new listing standard to allow NACs. [read post]
16 Jan 2024, 4:00 am
Later in the decade, the pendulum swung toward a more liberal view of the Scaffold Law in Runner v New York Stock Exchange Inc. [read post]
14 Jan 2024, 10:46 am
These shares, which are priced to reflect the spot price of Bitcoin, can be traded on traditional stock exchanges. [read post]
12 Jan 2024, 11:58 am
Attorney’s Office for the Southern District of New York announced criminal resolutions with Morgan Stanley and Passi. [read post]
