Search for: "Head of the Stock Exchange"
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14 Oct 2019, 1:16 am
Bonnie Chan will leave Davis Polk after almost a decade with the Wall Street firm to rejoin the Hong Kong stock exchange as its listings head. [read post]
19 May 2011, 11:17 am
According to the head of the Nigerian Stock Exchange, the country is in a marathon and not a sprint to build transparent, solid capital markets. [read post]
15 Feb 2007, 11:34 am
Securities and Exchange Commission to investigate whether officials of big student lender SLM Corp. engaged in illegal insider trading in selling company stock ahead of release of U.S. [read post]
2 Aug 2018, 5:07 am
A new first for cannabis businesses recently took place, with the first initial public offering on a U.S. stock exchange by a marijuana producer. [read post]
12 Mar 2004, 6:38 am
Friday's Wall Street Journal reports that the SEC is issuing subpoenas to former New York Stock Exchange chairman Dick Grasso and a number of associates as it investigates accusations that Grasso was involved in "influence trading" during his NYSE tenure. [read post]
13 Feb 2011, 7:19 am
The letter was also sent to the heads of the major stock and futures exchanges. [read post]
15 Jun 2007, 6:14 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website; JURIST news archive] said Thursday that it has filed suit [SEC complaint, PDF; press release] against the heads of a technology company and two lawyers who assisted the company in an illegal "pump and dump" penny stock scheme. [read post]
12 Apr 2010, 2:00 am
Susan Merrill, who spent a total of six years as head of enforcement for the New York Stock Exchange regulatory arm and the entity that succeeded it, is to join Bingham McCutchen's broker-dealer group in New York this week. [read post]
23 Dec 2011, 10:29 am
Direct Edge is the fourth largest stock exchange operator in the United States. [read post]
20 Jul 2004, 4:57 am
Richard Grasso, the former chair of the New York Stock Exchange, has filed suit aginst the NYSE for breach of contract and defamation. [read post]
29 Apr 2020, 5:07 am
Stephanie Lau has been named as co-head of the exchange's IPO vetting team in a round of promotions for former private practice lawyers. [read post]
24 Feb 2009, 8:34 am
The Malaysian stock exchange, Bursa Malaysia, released earlier this month a consultation paper inviting comments on proposed amendments to several Listing Requirements. [read post]
8 Feb 2018, 2:00 pm
In January, there were record in-flows into stocks and Exchange Traded Funds, ETFs, largely by retail investors. [read post]
16 Nov 2006, 8:13 am
Grasso a little while to return a large portion of the millions of dollars he took home when he was head of the New York Stock Exchange, as a state court judge ordered last month. [read post]
27 Mar 2017, 9:26 am
Last month’s appointment of women to head two big banks and Tadawul, the kingdom’s stock exchange, offers hope that the path to a fulfilling career is not completely blocked. [read post]
5 May 2009, 11:01 am
The head of the Securities and Exchange Commission said Tuesday she was making the issue of new rules restricting short-selling a priority as the agency heard from an array of interests about ways to limit trades that bet against a stock, The Associated Press reports. [read post]
3 Nov 2006, 5:10 am
A few weeks after a judge ordered Richard Grasso to hand over an unspecified chunk of the pay he received as the head of the New York Stock Exchange, New York Attorney General Eliot Spitzer has come up with some actual figures. [read post]
20 Sep 2008, 3:18 pm
The SEC's bone-headed suspension of all short selling on 799 financial stocks has created havoc in the markets and the SEC is scrambling to create exemptions. [read post]
14 Nov 2007, 7:32 am
Shares of Och-Ziff Capital Management posted modest gains Wednesday morning after Daniel Och, the head of the $30 billion hedge-fund firm, rang the opening bell on the New York Stock Exchange to celebrate his firm’s market debut. [read post]
26 Sep 2017, 1:11 pm
The Securities and Exchange Commission today charged a stock market analyst with insider trading prior to the publication of research reports and articles he authored with the false disclaimer that he wasn’t trading in the companies being covered. [read post]
