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26 May 2009, 6:58 am
The proposal is part of Finra's consolidation of rulebooks from its predecessor organizations, the National Association of Securities Dealers and the member regulation functions of the New York Stock Exchange. [read post]
2 Aug 2015, 5:10 pm
As discussed here, in December 2014, investors who had purchased the company’s ADSs on the New York Stock Exchange filed a securities class action lawsuit in the Southern District of New York against the company; certain of its directors and officers; its auditor; and its offering underwriters. [read post]
28 Jan 2021, 9:34 am
Pan also heads the national foreign exchange regulator, the State Administration of Foreign Exchange. [read post]
1 Dec 2021, 11:39 am
The European Union’s executive arm, the European Commission, proposed on Wednesday that member states bordering Belarus should be allowed to suspend some protections for asylum seekers, reports the New York Times. [read post]
28 Apr 2009, 11:54 am
According to press reports, the Securities and Exchange Commission may take final action this week to approve a New York Stock Exchange rule change to bar brokers from casting uninstructed client shares in uncontested elections. [read post]
31 Oct 2012, 1:48 am
While the trend has picked up recently, the first such case was filed on January 13, 2012 against AmDocs Ltd. in New York County Supreme Court. [read post]
31 Oct 2012, 1:48 am
While the trend has picked up recently, the first such case was filed on January 13, 2012 against AmDocs Ltd. in New York County Supreme Court. [read post]
28 Aug 2020, 1:13 pm
” A subsidiary board of the Shenzhen Stock Exchange, ChiNext, adopted new rules this month that let tech companies register more quickly for initial public offerings (IPOs) on the exchange. [read post]
28 Jan 2022, 3:00 am
The dates of Granholm’s stock sales ranged from April to late October. [read post]
2 Aug 2011, 5:26 am
District Court in Hartford.Prosecutors had accused the executives of participating in a scheme in which New York-based AIG secretly paid Stamford-based Gen Re to take out reinsurance policies with AIG in 2000 and 2001 to boost AIG's falling stock price. [read post]
18 Mar 2010, 6:10 am
Fisher are partners in the New York office of Cleary Gottlieb Steen & Hamilton LLP. [read post]
7 Nov 2008, 5:35 pm
Board Election Reforms Investors and governance observers expect that the next SEC chairman will revive a New York Stock Exchange (NYSE) proposal to end the counting of "broker votes" (i.e., shares where clients have given no voting instructions) in uncontested board elections. [read post]
Madoff Trustee Files Clawback Lawsuits Collectively Seeking Over $1B For BLMIS Feeder Fund Transfers
12 Jun 2012, 8:06 pm
They are contending that their investments are covered under US securities law protections because they are connected with Madoff’s alleged New York Stock Exchange stock trades and, as a result, “economic reality” makes their purchases equal to investments in these stocks. [read post]
18 Jan 2007, 7:59 am
Neteller is part of the Neteller Group, which is regulated by the UK Financial Services Authority and listed on the UK AIM stock exchange. [read post]
15 May 2019, 6:03 am
In 2010, the company went public, listing American Depositary Shares (“ADSs”) on the New York Stock Exchange. [read post]
10 Feb 2020, 8:41 am
Enlarge / A monitor displaying Equifax Inc. signage on the floor of the New York Stock Exchange in New York on Friday, September 15, 2017. [read post]
2 Oct 2017, 12:45 pm
Enlarge / A monitor displays Equifax Inc. signage on the floor of the New York Stock Exchange (NYSE) in New York on Friday, September 15, 2017. [read post]
22 Jul 2011, 4:17 am
In 1994 the pair began their scheme, which involved Cornblum picking up tidbits about upcoming deals at the various law firms he worked for in Ontario, and later New York. [read post]
7 Aug 2008, 9:30 pm
" The agreement was reached with the New York Attorney General's office and the U.S. [read post]
2 Sep 2011, 4:30 am
§ 77r(b)(1)(A), “Covered securities” include securities “listed, or authorized for listing, on the New York Stock Exchange (“NYSE”). [read post]
