Search for: "The Nasdaq Stock Market LLC"
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7 Oct 2014, 11:57 am
The newly renamed MMA Capital Management LLC, of Baltimore, a real estate asset management company, will start trading on the Nasdaq Capital Market exchange on Thursday, MMA announced. [read post]
9 Sep 2014, 10:29 am
On August 26, 2014, The NASDAQ Stock Market LLC (“NASDAQ”) filed with the Securities and Exchange Commission (the “SEC”) certain proposed amendments to the NASDAQ Stock Market Rules (the “Amendments”) to provide for, among other things, a new all-inclusive annual listing fee (the “All-Inclusive Annual Fee”). [read post]
18 Mar 2019, 6:24 am
On February 14, 2019, the Nasdaq Stock Market LLC filed notice with the Securities and Exchange Commission of a rule change to “amend and clarify certain aspects of the listing process for Direct Listings. [read post]
9 Jun 2021, 6:06 am
On May 19, 2021, the Securities and Exchange Commission (“SEC”) approved proposed rule changes submitted by The Nasdaq Stock Market LLC (“Nasdaq”) that allow companies to list in connection with a concurrent primary offering. [read post]
20 Aug 2021, 9:48 am
On August 6, 2021, the Securities and Exchange Commission (“SEC”) approved Nasdaq’s Board Diversity Rule (Nasdaq Stock Market LLC Rules 5605(f) and 5606), which requires listed companies to have at least two diverse board members or to explain their failure to meet the requirement, with some exceptions. [read post]
12 Dec 2008, 8:21 am
[JURIST] Former NASDAQ [official website] stock market chairman Bernard Madoff was arrested [DOJ press release, PDF] Thursday by federal agents on charges of securities fraud. [read post]
7 Aug 2021, 4:45 am
Today [August 6, 2021], the Commission approved Nasdaq Stock Market LLC’s proposed rule changes related to board diversity and disclosure. [1] The new listing standards will require each Nasdaq-listed company, subject to certain exceptions, to have at least two diverse board members or explain why it does not. [2] The new listing standards also will require disclosure, in an aggregated form, of information on the voluntary self-identified gender,… [read post]
26 May 2021, 8:42 am
Nelson, J.D.The SEC’s Division of Trading and Markets, pursuant to delegated authority from the Commission, recently approved a proposal submitted by The Nasdaq Stock Market LLC to permit the exchange to allow companies to conduct primary direct listings. [read post]
5 Jun 2013, 1:41 pm
May 29, 2013 was a bad day at the office for The Nasdaq Stock Market, LLC as it agreed to pay a $10 million fine to settle allegations arising from the troubled May 18, 2012 Facebook IPO. [read post]
27 Mar 2013, 6:32 am
The NASDAQ Stock Market LLC (Nasdaq) recently filed with the Securities and Exchange Commission (SEC) a proposed rule [1] requiring listed companies to establish and maintain an internal audit function. [2] The SEC is soliciting comments on the proposed rule through March 29, 2013. [3] Under the proposed rule, the internal audit function would be required to provide management and the audit committee with ongoing assessments of the company's risk… [read post]
21 Apr 2020, 12:37 pm
The New York Stock Exchange (NYSE) and The Nasdaq Stock Market LLC (Nasdaq) both took action this month to provide issuers with much needed relief in response to the economic downturn caused by the COVID-19 pandemic. [read post]
26 May 2022, 5:09 am
” Petitioners NASDAQ Stock Market LLC challenged the new rule by alleging it was “arbitrary and capricious and contrary to the goals and policies of the Securities Exchange Act. [read post]
13 Jun 2012, 12:37 pm
Markets covered in the reports include: New York Stock Exchange, NYSE Amex LLC (renamed NYSE MKT LLC as of May 14, 2012), NYSE Arca Inc., Nasdaq Global Stock Market, Nasdaq Capital Market, and Over-the-Counter Market. [read post]
21 Jun 2010, 4:13 am
Nasdaq's New Requirement: Prompt Notification of Any Noncompliance with Governance Listing Standards Recently, Nasdaq amended its corporate governance listing standards - specifically Nasdaq Stock Market Rule 5625 - to provide that, effective a week ago (ie. [read post]
1 Aug 2016, 9:14 am
On July 1, 2016, the Securities and Exchange Commission (the “SEC”) approved, on an accelerated basis, proposed amendments to the listing rules of The Nasdaq Stock Market LLC (“Nasdaq”) to require Nasdaq-listed companies to disclose annually any “compensation” or “other payment” provided by third parties to directors or director-nominees in connection with their candidacy or service on the… [read post]
9 Oct 2020, 7:54 am
In June 2020, Nasdaq Stock Market, Nasdaq BX, and Nasdaq PHLX petitioned the court to review the SEC's order while asking the Commission to stay its order pending the final resolution of the case. [read post]
18 Oct 2018, 7:57 am
The Commission unanimously decided to set aside certain data fees charged by NYSE Arca, Inc. and Nasdaq Stock Market LLC to market participants because the exchanges failed to demonstrate that the fees were fair, reasonable, and not unreasonably discriminatory, as required by the Exchange Act. [read post]
30 Aug 2021, 11:18 am
Cowen and Company, LLC and Needham & Company, LLC served as non-exclusive lead capital markets advisors to Cellebrite. [read post]
10 Aug 2021, 9:12 am
Nasdaq Stock Market LLC filed a proposed rule in December 2020 imposing certain board diversity requirements for its listed companies, then filed an amended proposal in March 2021. [read post]
15 Apr 2018, 6:10 am
In the Matter of Instinet, LLC, Respondent, (FINRAAWC 2013036836015, April 12, 2018)http://www.finra.org/sites/default/files/instinet_awc_041218.pdf The Financial Industry Regulatory Authority, BOX Options Exchange LLC; the CBOE BZX Exchange, Inc.; Investors Exchange LLC; the NASDAQ Stock Market LLC; and the New York Stock Exchange; and certain of their affiliated Exchanges censured and imposed a $1.575 million fine… [read post]
