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12 May 2017, 4:13 pm
That’s according to a new report from Reuters, which says the business is pressing ahead with its plan to directly list shares on the New York Stock Exchange later this year or early in 2018. [read post]
10 May 2017, 8:01 am
Several types of entities are excluded, such as entities traded on the New York Stock Exchange (NYSE), registered investment companies and investment advisors, and state-regulated insurance companies. [read post]
9 May 2017, 6:30 am
Snap Inc., which debuted on the New York Stock Exchange (NYSE) on March 2nd, was the largest tech IPO since Alibaba went public in 2014. [read post]
9 May 2017, 4:00 am
Being traded on the New York Stock Exchange is not an indicator of legitimacy either. [read post]
2 May 2017, 9:48 am
This level of trading was unsuitable for the customer given her investment profile, including her age, risk tolerance and income needs.Miguel Ortiz (CRD #5893323, New York, New York)Ortiz was barred from association with any FINRA member in any capacity. [read post]
28 Apr 2017, 6:02 am
Principles for Financial Regulatory Reform Posted by William Dudley, Federal Reserve Bank of New York, on Friday, April 21, 2017 Tags: Bankruptcy, Banks, Capital requirements, Dodd-Frank Act, Federal Reserve, Financial crisis, Financial institutions, Financial reform, Financial regulation, Liquidity, Recovery & resolution plans, SIFIs, Stress tests, Systemic risk, Too big to fail Corporate Governance Posted by Martin Lipton, Wachtell, Lipton, Rosen & Katz, on Friday,… [read post]
27 Apr 2017, 10:00 pm
In New York City’s Department of Education plan, students are permitted to carry an EpiPen as prescribed by his or her medical provider, if the student is determined to be self-directed and able to self-administer medication. [read post]
26 Apr 2017, 3:15 am
He began his career in New York before moving to Silicon Valley in 1994 and becoming a top legal adviser on tech IPOs. [read post]
15 Apr 2017, 7:10 am
Recommendation No. 1: Puerto Rico should offer the bulk of its creditors a single new fixed-pay instrument, issued by a federally validated bonding authority, in exchange for old bonds. [read post]
14 Apr 2017, 3:58 am
Arturo Di Modica dropped his bronze, Charging Bull, in front of the New York Stock Exchange in the middle of the night on December 15, 1989. [read post]
14 Apr 2017, 3:00 am
It’s not cheap to live in NYC and I paid 9.25% of my gross income to New York State and City as a privilege. [read post]
14 Apr 2017, 3:00 am
It’s not cheap to live in NYC and I paid 9.25% of my gross income to New York State and City as a privilege. [read post]
9 Apr 2017, 12:35 pm
(CRD #10641, Syracuse, New York) and Charles Lee Deremo (CRD #713036, Apple Valley, Minnesota). [read post]
3 Apr 2017, 6:34 pm
Had Newsweek been using 18th-century printing presses, the false story would have mostly been read by several thousand people in the New York City area, where Newsweek is based. [read post]
28 Mar 2017, 9:18 pm
The New York City-based Rosen Law Firm has filed a class action shareholders lawsuit against JBS over the investigation. [read post]
17 Mar 2017, 8:52 am
"Louis Marshall replied in a letter to the New York Times. [read post]
17 Mar 2017, 6:56 am
., a mid-sized broker-dealer based in New York City with 415 registered reps, is being investigated by three regulatory agencies, including the SEC, The Financial Industry Regulatory Authority Inc., the Securities and Exchange Commission and the Treasury Department’s Financial Crimes Enforcement Network, (FINCEN). [read post]
17 Mar 2017, 6:00 am
Rock, New York University School of Law, and Daniel L. [read post]
SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer
13 Mar 2017, 7:27 am
The latest example of an enforcement action against both involves a New York broker-dealer and its chief compliance / AML officer. [read post]
6 Mar 2017, 4:26 pm
What if a foreign plaintiff buys stock in a foreign company whose securities are cross-listed on U.S. exchanges? [read post]
