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20 Dec 2012, 3:24 am
First it was the aborted Deutsche Boerse offer to acquire the New York Stock Exchange. [read post]
13 Nov 2012, 11:54 am
i.andnbsp;andnbsp;andnbsp;andnbsp;andnbsp;andnbsp;andnbsp;andnbsp;andnbsp; Suitability The sale of unsuitable investments is actionable under Rule 10(b) of the Securities and Exchange Act ofandnbsp; 1934, SEC Rule 10b-5.andnbsp; This body of law is premised, in part, on the New York Stock Exchange Rule 405- andldquo;Know Your Customerandrdquo; rule, and is also set forth in FINRAandrsquo;s Conduct Rule IM-2310, which states that:andnbsp; andldquo;In… [read post]
25 Sep 2012, 9:06 am
In June 2000, a New York Stock Exchange Hearing Panel found that Merrill Lynch failed to report certain statistical information regarding customer complaints; and failed to establish and maintain adequate procedures and controls regarding the reporting of complaints. [read post]
22 Aug 2012, 3:45 pm
Sept. 30, 2009), stockholders brought a class action alleging, inter alia, that the chairman of the New York Mercantile Exchange (“NYMEX”) breached his fiduciary duties by rejecting a proposed acquisition of NYMEX by the NYSE and favoring a merger with the Chicago Mercantile Exchange in order to secure a continued position with the exchange. [read post]
18 Jul 2012, 2:09 am
Chinese education company New Oriental, which is listed in the U.S. on the New York Stock Exchange (NYSE: EDU), included this little bomblet in a July 17 earnings press release: On July 13, 2012, the Company was informed that the U.S. [read post]
14 Jul 2012, 5:19 pm
(NASD) took over the regulatory functions of The New York Stock Exchange Inc. [read post]
15 Jun 2012, 11:30 am
As discussed here, a May 21, 2012 New York Times article by Ben Protess and Azam Ahmed shed some light on the Kluger case and examined the new techniques used by the SEC to catch those engaging in insider trading. [read post]
14 Jun 2012, 5:25 am
The CGI Group is a Canadian company that lists its stock on the New York Stock Exchange (NYSE: GIB). [read post]
13 Jun 2012, 12:37 pm
Markets covered in the reports include: New York Stock Exchange, NYSE Amex LLC (renamed NYSE MKT LLC as of May 14, 2012), NYSE Arca Inc., Nasdaq Global Stock Market, Nasdaq Capital Market, and Over-the-Counter Market. [read post]
10 Jun 2012, 10:17 pm
According to stock fraud lawyers, a recent announcement by Healthcare Trust of America Inc. stated that the company will be advised by Wells Fargo Securities LLC in connection with the listing, on the New York Stock Exchange, of its Class A common stock. [read post]
5 Jun 2012, 1:22 pm
(“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
5 Jun 2012, 1:22 pm
Healthcare Trust of America, Inc. (“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
5 Jun 2012, 1:22 pm
Healthcare Trust of America, Inc. (“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
5 Jun 2012, 1:22 pm
(“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
2 Apr 2012, 2:33 pm
They are a public company listed on the New York Stock Exchange. [read post]
12 Mar 2012, 1:14 pm
Puda Coal was traded on the NYSE Amex stock exchange. [read post]
23 Jan 2012, 5:59 am
Once the final rule becomes effective (30 days from its publication in the federal register) the list of covered securities will include those listed, or authorized for listing, on: New York Stock Exchange; NYSE Amex LLC; National Market System of the Nasdaq Stock Market; Tier I of the NYSE Arca, Inc.; Tier I of the Nasdaq OMX PHLX LLC; Chicago Board Options Exchange, Incorporated; Options listed on the… [read post]
12 Jan 2012, 6:28 am
These failures have ushered in a new era of shareholder activism and corporate governance initiatives, including extensive legislative reform efforts and new rules by the Securities and Exchange Commission (SEC), the New York Stock Exchange (NYSE) and the Financial Industry Regulatory Authority (FINRA). [read post]
29 Dec 2011, 5:00 am
In addition to state standards and Sarbanes-Oxley (“SOX”) requirements, the major U.S. stock exchanges each have their own standards for independence. [read post]
26 Oct 2011, 11:24 am
The spin-off will be completed through a pro rata dividend of Marriott Vacations Worldwide common stock on Monday, November 21, 2011 to Marriott International shareholders of record as of the close of business of the New York Stock Exchange on Thursday, November 10, 2011. [read post]
