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18 Sep 2013, 12:26 pm
Steven Davidoff has a good analysis of this position in his New York Times DealB%k post. [read post]
16 Sep 2013, 11:21 am
Since private placements are not publicly traded and lack regulatory oversight they carry considerably high risks than stocks and other securities products sold on the New York Stock Exchange. [read post]
12 Sep 2013, 1:49 pm
In no event will public disclosure be deemed promptly made if it is made after the later of (i) 24 hours after the senior official learns of the unintentional disclosure and (ii) commencement of trading on the New York Stock Exchange on the trading day after the senior official learns of the unintentional disclosure. [read post]
10 Sep 2013, 9:31 am
However, the appellate court noted that a number of other factors were not sufficient to establish territoriality, including that the investments were marketed in the United States and sold to customers based in the United States, investors were instructed to wire funds to a bank in New York, and the custodian of the fund was a New York securities firm. [read post]
9 Sep 2013, 12:05 am
The court noted that the consolidated New York actions raised the same allegations; that the putative class in the consolidated action included the claimant and the class of Quebec purchasers she purported to represent; that New York law would govern the claims; that the underwriting defendants are domiciled in New York; and that any judgment would have to be executed in the United States. [read post]
9 Aug 2013, 11:50 am
I would also like to thank the security teams at the New York Federal Reserve Bank and the New York Stock Exchange for their assistance. [read post]
5 Aug 2013, 6:00 am
District Court for the Southern District of New York in Greenlight Capital LP v. [read post]
31 Jul 2013, 7:24 am
Attorney’s Office for the Southern District of New York today announced criminal charges against Aggarwal, who lives in India but recently returned to the U.S.SEC.gov | SEC Charges Tipper of Confidential Information to S.A.C. [read post]
31 Jul 2013, 6:17 am
On July 11, 2013, the Securities and Exchange Commission published a proposal by the New York Stock Exchange to amend Section 312.07 of the Listed Company Manual, which became effective immediately. [read post]
30 Jul 2013, 8:50 am
DiNapoli Wednesday commended NYSE Euronext, the parent company of the New York Stock Exchange (NYSE), for joining the United Nations Sustainable Stock Exchanges Initiative. [read post]
29 Jul 2013, 4:17 am
Barmash involves a New York-based Delaware corporation called Energy Scorecards, Inc. [read post]
18 Jul 2013, 3:00 pm
In reality, the forex trading has incurred losses of investor funds, and the forex trader actually spent only six years as a licensed securities professional in Houston before being barred by the New York Stock Exchange two decades ago. [read post]
17 Jul 2013, 10:00 pm
Total, whose securities are publicly traded on the New York Stock Exchange, agreed to pay more than $398 million to settle the SEC’s charges and a parallel criminal matter announced today by the U.S. [read post]
16 Jul 2013, 9:23 pm
Shares of Edwards were up 3.7 percent at $68.25 in early afternoon trading on the New York Stock Exchange, while shares of Medtronic were down 1.4 percent at $53.01. [read post]
15 Jul 2013, 4:30 am
In early 2013, Bukstel negotiated a deal allegedly worth over $8 million involving the sale of VitaminSpice assets to a New York investor. [read post]
15 Jul 2013, 1:28 am
What was old is new again. [read post]
6 Jul 2013, 11:41 am
The defendants moved to dismiss, noting that SPG had received email confirmation from New York Stock Exchange staff that shareholder approval of the amendment was not required under NYSE rules. [read post]
19 Jun 2013, 9:30 pm
Joshua Dratel, who represents the purported foiled bombe Sabirhan Hasanoff, talked Kevin Poulsen of Wired.Hasanoff supposedly plotted to blow up the New York Stock Exchange. [read post]
18 Jun 2013, 10:16 pm
Information gathered under 702 helped prevent an attack on the New York Stock Exchange. [read post]
17 Jun 2013, 7:01 am
Thinking Clearly About Chinese Companies Listed On US Stock Exchanges. [read post]
