Search for: "Head of the Stock Exchange"
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23 Jul 2012, 11:35 am
The Securities and Exchange Commission (SEC) has sanctioned Terry M. [read post]
4 Sep 2011, 7:18 am
For more on investing in U.S. listed Chinese stocks, check out "Thinking Clearly About Chinese Companies Listed On US Stock Exchanges. [read post]
4 Jun 2012, 12:19 pm
Rick Ketchum, the head of the Financial Industry Regulatory Authority, the self-policing body for the securities industry, said Tuesday that the question is "a matter of regulatory concern" for his organization and the Securities and Exchange Commission. [read post]
24 May 2004, 2:19 pm
New York Attorney General Eliot Spitzer has filed a civil lawsuit against former New York Stock Exchange chief executive Richard Grasso and former chairman of the NYSE's compensation committee Kenneth G. [read post]
6 Nov 2022, 6:30 am
When the reverse stock split becomes effective, outstanding shares are exchanged for a lower quantity of shares based on the designated ratio, and these “post-split” shares trade under a new CUSIP number. [read post]
10 Jan 2008, 2:32 pm
The morning the New York Stock Exchange hosted a panel entitled "Expert Networks: Issues and Opportunities for Public Companies". [read post]
27 Nov 2017, 11:12 am
One potential risk is exchange traded funds, or ETFs. [read post]
19 Sep 2023, 11:41 am
The appeals court therefore concluded that the stock constituted revenue generated from the intellectual property instead of an exchange of assets. [read post]
19 Oct 2021, 3:45 am
The report, however, finds no causal connection between the meme stock volatility and conflicts of interest, payment for order flow, off-exchange trading, wholesale market-making, or any other market practice that has drawn recent popular attention. [read post]
5 Dec 2006, 4:51 am
Hedge funds will face greater scrutiny as U.S. market regulators coordinate efforts to uncover illegal trading, the New York Stock Exchange’s head of market surveillance said. [read post]
14 Dec 2006, 5:29 am
Guillaume Pollet, the former head of Cowen’s private placement trading desk from 1999 to 2001, bet against companies in the midst of complex stock deals that almost always lead to share-price [...] [read post]
15 Nov 2007, 4:50 am
But what of the stock exchange’s new chief, Duncan L. [read post]
15 Nov 2007, 7:35 am
While his previous position as the head of the New York Stock Exchange — now NYSE Euronext — was prestigious and high profile, Mr. [read post]
16 Aug 2022, 9:05 pm
Securities and Exchange Commission (SEC) and the U.S. [read post]
19 Feb 2009, 4:37 am
Ketchum is currently the chief executive of NYSE Regulation Inc., which regulates the New York Stock Exchange. [read post]
9 Feb 2018, 3:32 am
The head of the Exchange spoke to us and started crying. [read post]
17 Feb 2007, 11:06 am
A Deloitte Partner makes headlines in Hungary.We hear that Andras Simor, country head of Deloitte and Touche LLP since 2002 will be appointed as the next governor of Hungary's central bank. [read post]
4 Jun 2012, 12:19 pm
Rick Ketchum, the head of the Financial Industry Regulatory Authority, the self-policing body for the securities industry, said Tuesday that the question is "a matter of regulatory concern" for his organization and the Securities and Exchange Commission. [read post]
1 Jul 2010, 8:22 am
Exchange Traded Funds have morphed from their origins as more liquid versions of broad-based stock index mutual funds into more extreme varieties that mimic high-risk hedge funds. [read post]
30 Oct 2007, 2:05 pm
The discussion covers where the say on pay issue is headed, how performance-based stock options did during the 2007 proxy season and emerging compensation trends. [read post]
