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29 Apr 2024, 10:00 pm
For a company to list on the New York Stock Exchange, it must meet certain minimum financial and liquidity requirements. [read post]
22 Dec 2022, 3:23 am
"Wrote Natalia Ginzburg in 1948, quoted in a new New York Review of Books piece, "On Women: An Exchange Natalia Ginzburg and Alba de Céspedes, introduction by Ann Goldstein. [read post]
27 May 2013, 8:30 am
Thus spake FDR upon learning of the defalcations of the haughty Wall Street financier and fellow Grotonian, news of which which delivered the New York Stock Exchanges into the hands of William O. [read post]
17 Nov 2011, 7:37 am
Lynch, United States Attorney for the Eastern District of New York, and Janice K. [read post]
17 Nov 2011, 7:37 am
Lynch, United States Attorney for the Eastern District of New York, and Janice K. [read post]
19 Apr 2018, 12:00 am
The United States District Court for the Southern District of New York granted Defendants’ motion to dismiss. [read post]
7 Sep 2022, 8:23 am
SEC reportedly orders Perceptive to pay $1.5 Million Penalty to Settle Charges According to a press release on Sept. 6, 2022, the Securities and Exchange Commission reportedly charged New York-based investment adviser Perceptive Advisors LLC with allegedly failing to disclose conflicts of interest regarding its personnel’s alleged ownership of sponsors of special purpose acquisition companies (SPACs) into which Perceptive reportedly advised its clients to… [read post]
6 Jan 2020, 11:24 am
Aurora Cannabis became a publicly traded company in July, 2017 on the Toronto Stock Exchange, and on the New York Stock Exchange in October, 2018. [read post]
22 Jun 2018, 9:30 pm
From the newsletter of the SEC Historical Society: “Maybe you've heard of the Buttonwood Agreement, an effort to organize securities trading in 1792 and preceding the formation of the New York Stock and Exchange Board...but have you ever seen it? [read post]
1 Jul 2009, 7:49 am
Target-Date mutual funds are not always what they appear to be, reports Leslie Wayne in her June 25, 2009 article in the New York Times entitled "Target-Date Mutual Funds May Miss Their Mark. [read post]
19 Jul 2011, 10:08 am
Minority shareholders receive cash or debt in exchange for their shares subject to appraisal rights under applicable state law. [read post]
12 Sep 2009, 2:29 pm
(Editor's Note: This article previously appeared in the New York Law Journal.) [read post]
7 May 2016, 10:27 pm
An astonishing $325 has been erased from each CMG shares on the New York Stock Exchange. [read post]
19 Jun 2013, 9:30 pm
Joshua Dratel, who represents the purported foiled bombe Sabirhan Hasanoff, talked Kevin Poulsen of Wired.Hasanoff supposedly plotted to blow up the New York Stock Exchange. [read post]
26 Feb 2018, 12:53 pm
About FINRA FINRA is a private corporation that regulates brokerage firms and helps to oversee stock exchanges, including the New York Stock Exchange and NASDAQ. [read post]
16 May 2014, 6:39 am
First a little backgrounder: The New York Stock Exchange has been on an historic run-up. [read post]
4 Apr 2022, 10:02 am
Musk Twitter's largest shareholder," The New York Times wrote. [read post]
15 May 2024, 11:44 am
SEC Charges Hudson Valley Wealth Management and Founder for Breach of Fiduciary Duty On May 14, 2024, The Securities and Exchange Commission (SEC) announced it has settled charges against Hudson Valley Wealth Management Inc., a registered investment adviser based in New York, and its founder. [read post]
24 Oct 2014, 7:34 pm
Similarly, Mark Mobius of Franklin Templeton Investments has observed that even though Alibaba’s VIE ownership structure presents significant risk for investors, stock exchange regulators have deferred to the capital-maximizing wishes of stockbrokers, investment bankers, and others, by allowing Alibaba to enter the New York Stock Exchange. [read post]
24 Oct 2014, 7:34 pm
Similarly, Mark Mobius of Franklin Templeton Investments has observed that even though Alibaba’s VIE ownership structure presents significant risk for investors, stock exchange regulators have deferred to the capital-maximizing wishes of stockbrokers, investment bankers, and others, by allowing Alibaba to enter the New York Stock Exchange. [read post]
