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31 Jul 2019, 7:02 am
New York Securities Regulator, NYDFS, Creates New Division to Oversee and Develop Fintech and CryptocurrenciesCrowdfund Insider – July 24, 2019 One year ago, former NYDFS (New York Department of Financial Services) Superintendent Maria T Vullo, issued a statement in which she said her organization, which regulate New York financial markets, “fiercely opposes the Department of Treasury’s endorsement of regulatory… [read post]
3 Feb 2010, 7:00 am
District Court for the Eastern District of New York granted Blankfein’s motion to dismiss. [read post]
30 May 2012, 9:38 pm
The Commission contends that Keys and Perry misled investors while trying to raise capital and preparing to sell $100 million in new stock before July 2008, which is when thrift regulators closed IndyMac Bank, F.S.B and the holding company filed for bankruptcy protection. [read post]
14 Mar 2011, 9:28 am
District Court for the Southern District of New York Feb. 22 significantly narrowed class securities fraud charges against Vivendi Universal S.A. and two former executives who allegedly made material misstatements about the French media conglomerate’s finances, causing its stock to trade at artificially high levels between 2000 and 2002. [read post]
24 Jun 2011, 11:39 am
Nevertheless, the court rulings that have come down to date in the Southern District of New York are not controlling precedent. [read post]
1 Dec 2014, 3:04 pm
You work for a large multi-national company that offers you a promotion, but that new job is in New York. [read post]
13 May 2015, 3:17 am
Speaking at the 14th annual Baruch College Financial Reporting Conference in New York City, Schnurr said that “there is virtually no support to have the SEC mandate IFRS for all registrants. [read post]
23 Jan 2009, 2:43 am
Madoff Investment Securities to anyone working on Wall Street at any time over the last 40 years and you're likely to get a look of immediate recognition.After all, Madoff Securities, with its 600 major brokerage clients, is ranked as one of the top three market makers in Nasdaq stocks, cites itself as probably the largest source of order flow for New York Stock Exchange-listed securities, and remains a huge player in the trading of preferred,… [read post]
6 Jun 2008, 12:18 am
In May, the Security and Exchange Commission charged him and three other employees of secretly backdating stock options for over five years. [read post]
16 Mar 2011, 5:42 pm
The contingent from TechNet included more than 50 representatives, including the CEO of Cisco and high-ranking officials from NASDAQ OMX and the New York Stock Exchange. [read post]
19 Oct 2010, 7:31 am
The New York Stock Exchange went public through a combination with much smaller public company Archipelago Group in 2006. [read post]
31 Mar 2007, 12:29 am
Kerik's indictment could set the stage for a courtroom battle that would draw attention to Kerik's extensive business and political dealings with former New York mayor Rudolph W. [read post]
29 May 2011, 3:21 pm
It is reported that SEC has begun an investigation, which will also throw the spotlight generally on non-US companies listed on US stock exchanges. [read post]
12 Mar 2008, 9:48 am
On Dec. 21, the discount retailer announced that it would delist its shares from the New York Stock Exchange. [read post]
7 Aug 2019, 10:56 am
Enlarge / A monitor seen on the floor of the New York Stock Exchange on Tuesday, Sept. 4, 2018. [read post]
14 Jul 2010, 1:20 pm
Moreover, recent developments, such as the revisions to Rule 452 of the New York Stock Exchange (“NYSE”) limiting the ability of brokers to vote uninstructed shares in uncontested director elections and other corporate election of directorshave highlighted the importance of accuracy and accountability in governance trends such as increased adoption of a majority voting standard for the the voting process. [read post]
13 Apr 2012, 12:15 pm
For example, its earliest document is the Buttonwood Agreement (1792), which might be considered the original founding document of what would become the New York Stock Exchange. [read post]
10 May 2010, 5:10 am
NYSE Euronext (NYX) and the Financial Industry Regulatory Authority May 4 announced that by the end of June, FINRA will take over New York Stock Exchange Regulation’s market surveillance and oversight functions. [read post]
1 Apr 2020, 8:13 am
Enlarge / T-Mobile CEO John Legere waves during an interview on the floor of the New York Stock Exchange on Monday, April 30, 2018. [read post]
24 May 2012, 5:30 am
None other than the good old New York Stock Exchange. [read post]
