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9 Oct 2015, 12:08 pm
Attorney’s Office for the Southern District of New York. [read post]
8 Oct 2015, 1:07 pm
Thomson Reuters shares are listed on the Toronto and New York Stock Exchanges. [read post]
7 Oct 2015, 4:46 pm
July 10, 2013) (holding attorney-client privilege and work-product protection were waived where company voluntarily provided to the Securities Exchange Commission the content of interview notes and summaries prepared by counsel); but see SEC v. [read post]
6 Oct 2015, 3:05 am
They contended that there was insufficient evidence that the tipper received any personal benefit in exchange for the tip, and, in any event, that they certainly did not know of any such benefit. [read post]
4 Oct 2015, 5:02 pm
The consolidated cases are now pending before Southern District of New York Judge Richard M. [read post]
2 Oct 2015, 6:10 am
Recently, the New York Stock Exchange LLC (“NYSE” or “Exchange”) filed a proposed rule change with the Securities and Exchange Commission to amend the NYSE Listed Company Manual (the “Manual”), effective September 28, 2015. [1] The proposed amendments (i) expand the pre-market hours during which companies with listed securities are required to notify the Exchange prior to disseminating material… [read post]
27 Sep 2015, 6:21 pm
Wayne State University Law Professor Peter Henning has an interesting September 24, 2015 post on his New York Times White Collar Watch blog (here) analyzing the potential criminal consequences for Volkswagen from the emissions scandal. [read post]
25 Sep 2015, 7:56 am
New York – William Boyland Jr., Ex-New York Assemblyman, Gets 14-Year Sentence for CorruptionNew York Times – Nicholas Casey | Published: 9/17/2015 Former New York Assemblyperson William Boyland, Jr. was sentenced to 14 years in prison and ordered to pay more than $325,000 for using his public post for personal gain. [read post]
23 Sep 2015, 3:28 am
On July 8, 2010, Fannie Mae's common stock was delisted from the New York Stock Exchange and the Chicago Stock Exchange.Fannie Mae itself entered into a non-prosecution agreement with the SEC in December 2011, in which the GSE agreed to accept responsibility for its conduct and not dispute the SEC’s findings, while also agreeing to cooperate with the Commission’s litigation against the former executives. [read post]
21 Sep 2015, 3:30 am
Cristie Ford In the early 2000s, I spent some time as a fly on the wall of the floor of the New York Stock Exchange. [read post]
15 Sep 2015, 7:05 am
The scheme was based on hacks into Marketwired of Toronto, PR Newswire in New York, and Business Wire of San Francisco. [read post]
9 Sep 2015, 2:47 pm
According to Bizjournals Houston, Goodrich Petroleum was warned of delisting from the New York Stock Exchange. [read post]
8 Sep 2015, 5:08 pm
According to reports, Noble, who took the proposed settlement under advisement, was also concerned about the scope of the releases the defendants received in exchange for modest consideration. [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]
7 Sep 2015, 2:47 pm
Delaware Passes Law Banning Fee-Shifting Bylaws: The Delaware legislature overwhelmingly passed S.B. 75, which prohibits Delaware stock corporations from adopting “loser pays” fee-shifting bylaws and which confirms that Delaware corporations may adopt bylaws designating Delaware courts as the exclusive forum for shareholder litigation. [read post]
28 Aug 2015, 7:11 am
ICE proposed to one company that it would waive the licensing fee if it directed stock transactions to the NYSE, which has seen its share of the equities business dwindle, instead of rival exchanges, an executive at the trading firm said.link: http://www.bloomberg.com/news/articles/2015-08-28/nyse-draws-users-ire-with-fee-increases-patent-charge-proposal**Recall Edge Capture LLC et al. v. [read post]
24 Aug 2015, 12:24 pm
Traders work on the floor of the New York Stock Exchange (NYSE) in New York, U.S., on Wednesday, Jan. 30, 2014. [read post]
24 Aug 2015, 10:51 am
The New York Times describes their split-second efforts to bring down the gunman, which prevented what one French official said could easily have been “a terrible tragedy. [read post]
24 Aug 2015, 3:20 am
Lewis’s book prompted a number of lawsuits against stock exchanges and dark pools where HFT was purportedly harming investors. [read post]
23 Aug 2015, 5:15 pm
Background In recent days, as part of this continuing drumbeat of concern about short-termism, prominent New York lawyer Martin Lipton of the Wachtell, Lipton, Rosen & Katz law firm caused something of a stir by calling for the end of quarterly reporting requirements. [read post]
