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6 Feb 2018, 12:00 am
Exxon further argued an amendment to its certificate of incorporation to satisfy this proposal would restrict the board in its management of the business, thus violating the Act because its shares trade on the New York Stock Exchange. [read post]
24 Jul 2023, 10:00 pm
Companies listed on the New York Stock Exchange (NYSE) and Nasdaq Stock Market (Nasdaq) have until December 1 to adopt compliant clawback policies for erroneously awarded rewards, now that the SEC has approved listing standards. [read post]
17 Jul 2013, 10:00 pm
Total, whose securities are publicly traded on the New York Stock Exchange, agreed to pay more than $398 million to settle the SEC’s charges and a parallel criminal matter announced today by the U.S. [read post]
5 Jul 2009, 7:25 am
(Editor's Note: This post comes from Alex Edmans at the University of Pennsylvania, Xavier Gabaix and Tomasz Sadzik, both of New York University, and Yuliy Sannikov of the University of California, Berkeley.) [read post]
18 Sep 2009, 8:30 am
On August 24, 2009, the US District Court for the Southern District of New York preliminarily approved a $150 million settlement of a subprime-related securities class action pending against Merrill Lynch and several of its directors and officers styled, Louisiana Sheriff's Pension and Relief Fund v. [read post]
8 Sep 2015, 6:29 am
The alleged scheme had the effect of taking Miller Energy from a penny stock into a security that was listed on the New York Stock Exchange reaching a $9 per share high in 2013. [read post]
28 Mar 2013, 6:22 am
Feb. 24, 2012, recon. denied Mar. 27, 2012) (concurring with exclusion of an independent chair proposal that referred to the New York Stock Exchange standard of independence without defining it because “neither shareholders nor the company would be able to determine with any reasonable certainty exactly what actions or measures the proposal requires”); Textron Inc. [read post]
12 Mar 2014, 9:26 am
“Shut down the New York stock exchange … shut down some of our government networks … impact our transportation areas … water supplies, they could do damage to that. [read post]
28 Sep 2018, 5:12 am
According to the SEC’s complaint, Musk’s tweets caused Tesla’s stock price to jump by over six percent on August 7, and led to significant market disruption.The SEC’s complaint, filed in federal district court in the Southern District of New York, alleges that Musk violated antifraud provisions of the federal securities laws, and seeks a permanent injunction, disgorgement, civil penalties, and a bar prohibiting Musk from serving as an officer or… [read post]
29 Feb 2024, 9:30 pm
Allen Boyer, formerly senior appellate counsel at the New York Stock Exchange Enforcement Division and the author of Sir Edward Coke and the Elizabethan Age (Stanford University Press) and Mark Nicholls, a Fellow of St. [read post]
7 Dec 2021, 12:02 pm
In July, the e-discovery company DISCO became one of just a handful of legal technology companies ever to go public, listing on the New York Stock Exchange. [read post]
28 Sep 2018, 5:12 am
According to the SEC’s complaint, Musk’s tweets caused Tesla’s stock price to jump by over six percent on August 7, and led to significant market disruption.The SEC’s complaint, filed in federal district court in the Southern District of New York, alleges that Musk violated antifraud provisions of the federal securities laws, and seeks a permanent injunction, disgorgement, civil penalties, and a bar prohibiting Musk from serving as an officer or… [read post]
15 Feb 2014, 1:55 am
Under the settlement, Merck would pay a fraction of what at least one company has paid in a similar settlement.German drugmaker Bayer AG said last year it had paid nearly $1.6 billion to settle thousands of lawsuits involving accusations that its Yaz and Yazmin birth control pills caused blood clots that led to strokes and heart attacks.Merck shares were up 1 percent at $54.32 on the New York Stock Exchange, in line with a 1.2-percent... [read post]
18 Dec 2012, 3:00 pm
“Allianz’s subsidiary created an 'off-the-books' account that served as a slush fund for bribe payments to foreign officials to win insurance contracts worth several million dollars,” said Kara Brockmeyer, Chief of the SEC Enforcement Division’s FCPA Unit.According to the SEC’s order instituting settled administrative proceedings against Allianz, the misconduct occurred from 2001 to 2008 while the company’s shares and bonds were registered with the SEC and traded… [read post]
3 Mar 2009, 9:54 am
Related Web Resources: Consultants Touted Firm Accused in Fraud, The Wall Street Journal, February 27, 2009 SEC Charges Two New York Residents For Misappropriating More Than $500 Million in Investment Scheme, SEC, February 25, 2009 Read the SEC Complaint (PDF) [read post]
19 Mar 2013, 5:00 am
Although most companies listed on the NASDAQ already have an internal audit function, the proposed rule would bring the NASDAQ into alignment with the New York Stock Exchange, which already requires its listed companies to have an internal audit function. [read post]
3 Dec 2007, 4:10 am
NYSE Entitled to Absolute Immunity Against Class Action’s Regulatory Violations Claims but District Court Misinterpreted Rule 10b-5 Case Law Regarding Standing in Dismissing Balance of Class Action Complaint thus Necessitating Remand as to those Claims Second Circuit Holds Plaintiffs filed a class action against the New York Stock Exchange (NYSE) seeking damages for its alleged failure to “regulate and provide a fair and orderly… [read post]
17 Jun 2018, 12:00 am
Mar. 20, 2018), the United States District Court for the Southern District of New York denied in part and granted in part a motion to dismiss a putative class-action suit against Kitov Pharmaceutical Holdings, Ltd. [read post]
6 Oct 2011, 9:08 am
FINRA is a non-profit Delaware corporation that was formed in July 2007 when the NASD consolidated with the regulatory arm of the New York Stock Exchange.FINRA argued that it is authorized to collect fines in federal court under the Exchange Act and under a FINRA (formerly NASD) rule submitted to, and not disapproved by, the SEC in 1990. [read post]
3 Jan 2008, 6:16 am
The Section on Business Associations will meet today from 2:00-5:00 pm in Murray Hill A, Second Floor, Hilton New York. [read post]
