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26 May 2011, 8:00 am
See Exchange Act Release No. 53382 n. 64 (Feb. 27, 2006) (“In addition, pursuant to the Operating Agreement of New York Stock Exchange LLC, NYSE Group may not transfer or assign its interest in New York Stock Exchange LLC, in whole or part, to any entity, unless such transfer or assignment is filed with and approved by the Commission under Section 19 of the Act. [read post]
8 Feb 2022, 6:21 am
The company has just completed its stock exchange listing in New York, raising capital to feed ambitions that include developing a new record company together with SME and building a string of new music venues and recording studios across MENA, as well as internationally. [read post]
12 Aug 2011, 11:38 pm
As the U.S. economy continues to struggle, compounded by a lowered Standard & Poor’s rating that sent the New York Stock Exchange and European markets spiraling, corporate whistleblower cases are likely to increase as corporations try to tighten budgets and cut costs. [read post]
12 Aug 2011, 9:19 am
As the U.S. economy continues to struggle, compounded by a lowered Standard & Poor’s rating that sent the New York Stock Exchange and European markets spiraling, corporate whistleblower cases are likely to increase as corporations try to tighten budgets and cut costs. [read post]
14 Nov 2011, 3:00 am
Barasch tendered her original stock certificate to Williams Oldco. [read post]
6 Apr 2014, 6:22 am
Calamari, director of the SEC’s New York Regional Office, “Rule 105 is an important safeguard designed to protect the market against manipulative trading, and we will continue to aggressively pursue violators. [read post]
26 Feb 2008, 7:27 am
Assistant Regional Director Doria Bachenehimer of the SEC's New York office asked the pertinent question: "Is the bank giving itself better prices than it's giving its own clients? [read post]
27 Aug 2010, 11:50 am
In 2009, the New York Stock Exchange amended its Rule 452 to prohibit brokers who trade on the New York Stock Exchange from exercising discretionary authority to vote shares held in street name in favor of director candidates in uncontested elections. [read post]
24 Jan 2008, 5:43 pm
Delisting Decision - Discount clothing retailer Syms Corp was sued last week when it decided to delist its stock from the New York Stock Exchange in favor of the pink sheets. [read post]
17 Jul 2020, 3:00 am
Attorney Geoffrey Berman to resign and take another job, including as chairperson of the Securities and Exchange Commission, to clear the way for President Trump to install a political ally as the leader of the powerful federal prosecutors’ office in Manhattan. [read post]
15 Dec 2008, 10:34 pm
 "Our complaint alleges a stunning fraud that appears to be of epic proportions," said Andrew Calamari, associate director of enforcement in the SEC's New York office. [read post]
9 Oct 2018, 5:21 am
The Southern District of New York ordered Steven H. [read post]
26 Nov 2009, 7:15 pm
Updated for two additional notes to the SEC at bottom of post To the Securities and Exchange Commission: Recently, Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
18 Feb 2011, 1:11 am
Investors immediately filed multiple securities class action lawsuits in the Southern District of New York. [read post]
11 May 2011, 12:54 pm
Richard Whitney: One of the best-known figures on 1930s Wall Street, New York Stock Exchange president, 1930-1935. [read post]
23 Sep 2010, 1:24 pm
” The bankruptcy, filed in New York, will wipe out Blockbuster’s badly battered stock, which was delisted from the New York Stock Exchange two months ago because it was nearly worthless. [read post]
23 Apr 2007, 9:30 pm
Read more here (from the New York Times). [read post]
5 Oct 2011, 11:34 am
A lot of people have been taking note of how the NYPD has been handling this protest, which is mostly taking place in an area that has been a virtual police state since 9/11 - just between the World Trade Center and the New York Stock Exchange. [read post]
5 Oct 2011, 11:34 am
A lot of people have been taking note of how the NYPD has been handling this protest, which is mostly taking place in an area that has been a virtual police state since 9/11 - just between the World Trade Center and the New York Stock Exchange. [read post]
10 Dec 2009, 11:39 am
”Bankers in New York and London had better be worried. [read post]
