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16 Jun 2010, 7:20 pm
In and out of the car on errands today, I picked up this exchange between NPR's Neal Conan and New Hampshire Senate candidate Bill Binnie: CONAN: One last question - and I don't mean to be too flip, but you'd think the two things would be unpopular in this particular place and in this particular time in this country's history would be New York and stock exchange? [read post]
19 Mar 2010, 3:12 pm
So the headline of a WSJ article today is "SEC Didn't Expand Upon Stock-Abuse Settlement," and the first sentence reads: "The Securities and Exchange Commission has failed to turn key parts of a landmark stock-research settlement into industrywide rules, a move that threatens to gut pieces of the pact. [read post]
19 Aug 2010, 6:46 am
One of the four entities was Gottbetter Capital Group Inc., headed by New York lawyer Adam S. [read post]
27 Jul 2007, 5:56 am
” For all you Dead Heads out there, sorry it’s not Jerry, its Claudia. [read post]
31 Mar 2007, 12:29 am
Records filed with the Securities and Exchange Commission show Kerik had earned more than 6.2 million dollars in pretax profits through stock options he was granted by Taser International, a manufacturer of stun guns. [read post]
20 Sep 2016, 7:16 am
One sometimes thinks that consistency is the stock-in-trade of attorneys. [read post]
30 Apr 2013, 4:43 am
Exchange Act Section 25 establishes the framework for initial appellate review of Commission actions. [read post]
31 Mar 2014, 12:46 pm
The money for these closed-end funds is borrowed from the issuer and then listed and traded on an open stock exchange. [read post]
15 Nov 2013, 7:00 am
These funds present risks unlike other fund investments, and FINRA is seeking to head off the problem. [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]
19 Aug 2010, 9:22 am
How about the New York Stock Exchange (NYSE) and Hewlett-Packard (HP)? [read post]
1 Aug 2014, 2:34 am
Sometimes, however, even I have to shake my head at the depth of which this type of corruption occurs. [read post]
1 Aug 2014, 2:34 am
Sometimes, however, even I have to shake my head at the depth of which this type of corruption occurs. [read post]
30 Nov 2023, 7:33 am
The stock was then trading around $1. [read post]
19 Feb 2019, 4:34 pm
Axiom Announces Confidential Submission of Draft Registration Statement for Proposed Initial Public Offering Press Announcement Axiom Global Inc. today [February 19, 2019] announced it has confidentially submitted a draft registration statement on Form S-1 with the Securities and Exchange Commission (the “SEC”) relating to the proposed initial public offering of its common stock. [read post]
1 Jul 2009, 11:45 am
From June 5 to June 18, there was little trading in the stock with an average price of about 9 cents. [read post]
14 May 2010, 8:16 am
I am lucky to have some amazing panelists and I am looking forward to a lively exchange. [read post]
9 May 2012, 6:35 am
Beloff tells how everything had to be hush-hush in the early stages: "Under [London Stock Exchange] rules, if information concerning the proposed transaction became public, trading in Justice's shares would have been suspended," Beloff explained. [read post]
19 Nov 2018, 3:02 am
But we might see a decline in those numbers if the secondary market evaporates – and there are signs that it’s heading in that direction. [read post]
