Search for: "The Nasdaq Stock Market LLC v. Securities and Exchange Commission" Results 1 - 20 of 23
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25 May 2022, 6:22 am by John Jascob
The panel concluded that the Commission reasonable concluded that the rule would promote its stated goal and that the agency carefully considered the costs and benefits to the public interest (The Nasdaq Stock Market LLC v. [read post]
11 Jun 2021, 5:47 am
(BrokeAndBroker.com Blog)The Nasdaq Stock Market LLC, et al., Petitioners, v. [read post]
4 Jul 2022, 7:46 pm
UBS Sued in Federal Court Over Form 1099 Reporting (BrokeAndBroker.com Blog)SEC Obtains Final Judgments Against Defendants in Netflix Insider Trading Ring (DOJ Release)SEC Obtains Judgments Against Three Individuals for Participating in Multi-Million Dollar International Fraud Scheme (SEC Release)The Nasdaq Stock Market LLC, et al., Petitioners, v. [read post]
4 Jul 2022, 7:46 pm
The Flash Crash, Interactive Brokers, Two Hedge Funds, John Does, and Homer Simpson's Appetite for Donuts (BrokeAndBroker.com Blog)The Nasdaq Stock Market LLC, et al., Petitioners, v. [read post]
22 Jan 2021, 7:56 am by John Jascob
The amici are the Council for Institutional Investors, the Securities Industry and Financial Markets Association, Inc., Investors' Exchange LLC, and MEMX LLC (The Nasdaq Stock Market LLC v. [read post]
17 Oct 2019, 8:18 am by John Jascob
The NYSE Group, Nasdaq, and Cboe Global Markets have all challenged the legality of the controversial pilot, which is designed to study NMS stocks and the effects that exchange transaction fee and rebate pricing models may have on order routing behavior, execution quality, and general market quality (New York Stock Exchange LLC v. [read post]
24 May 2012, 6:51 am
The fact is most volume on equity exchanges like NASDAQ and NYSE are the r [read post]
6 Jul 2022, 7:03 am by John Jascob
Circuit court could not sever the offending part, and thus vacated the entire order (The Nasdaq Stock Market LLC v. [read post]
19 Jan 2023, 12:49 pm by Kevin LaCroix
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
21 Apr 2009, 6:12 pm
In an 8-K report filed with the Securities and Exchange Commission, Overstock.com disclosed that Icent LLC (a company run by Mr. [read post]
13 Sep 2010, 1:04 am by Chris Carey
Sharesleuth took a closer look at the registration statement covering the resale of those shares, and found that no fewer than eight people who participated in the placement have been the subject of Securities and Exchange Commission actions or criminal prosecutions. [read post]
3 Apr 2009, 5:08 pm
Updated:According to Overstock.com's (NASDAQ: OSTK) proxy statement filed with the Securities and Exchange Commission on Friday, April 2, the company's $1,250,000 payment to terminate a management consulting agreement with Icent LLC, a company headed by departing Board Member James V. [read post]
22 Mar 2019, 6:27 am
Securities and Exchange Commission, on Saturday, March 16, 2019 Tags: Board communication, Brexit, Climate change, Disclosure, Environmental disclosure, ESG, Information environment, International governance, Investor protection, Long-Term value, Materiality, Sustainability Is it Time for Corporate Political Spending Disclosure? [read post]
15 Feb 2022, 2:05 pm by Kevin LaCroix
Claims brought following the de-SPAC are similar to securities lawsuits brought against other public companies, arising under Section 10(b), Section 14(a) and/or Section 20(a) of the Securities Exchange Act. [read post]
16 Mar 2020, 1:54 pm by Kevin LaCroix
This would be significant to the extent it opens an avenue to primary liability for a class of persons who previously may only have faced secondary liability under the statutory “aiding and abetting provision,” which contains no private right of action and is therefore only enforceable by the Securities and Exchange Commission. [read post]