Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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SEC Approves Nasdaq Rule Change to Permit Issuers to Regain Compliance Before Delisting for Failure to Hold Annual Meeting

The SEC has approved a Nasdaq rule change to permit Nasdaq to exercise discretion to grant an extension to regain compliance before delisting a company that fails to hold an annual meeting. In determining whether to grant a...more

2/15/2016 - Annual Meeting Delisting Extensions Nasdaq SEC

Nasdaq Finds Another Use for Blockchain Technology

Nasdaq and the Republic of Estonia have announced that Estonia’s e-Residency platform will be facilitating a blockchain-based e-voting service to allow shareholders of companies listed on Nasdaq’s Tallinn Stock Exchange,...more

2/15/2016 - Block Chain Corporate Governance Nasdaq Shareholder Meetings Stock Markets

Nasdaq Seeks to Permit Issuers to Regain Compliance Before Delisting for Failure to Hold Annual Meeting

Nasdaq has filed a rule proposal with the SEC to permit it to exercise discretion to grant an extension to regain compliance before delisting a company that fails to hold an annual meeting. In determining whether to grant a...more

12/23/2015 - Annual Meeting Delisting Extensions Nasdaq SEC

Nasdaq Considering Changes to Its Shareholder Approval Rules

Broc Romanek of TheCorporateCounel.net noted in this blog that “Recently, Nasdaq solicited comment on its shareholder approval rules. It’s a broad – and general – request since the rules haven’t changed much in the 25 years...more

12/2/2015 - Investor Protection Nasdaq Publicly-Traded Companies Shareholder Approval Shareholder Votes

NYSE Expands Rules Related to Pre-Market Notification of Material News, Trading Halts and News Releases After Market Close

The NYSE has filed a proposed rule change that is immediately effective. The NYSE proposes to amend Section 202.06 of the Listed Company Manual to: - expand the pre-market hours during which listed companies are required...more

9/4/2015 - Compliance Financial Institutions Financial Markets Foreign Exchanges Investment Investors Listing Standards Nasdaq NYSE Publicly-Traded Companies Release of Information Request For Information Stocks Trading Platforms

Nasdaq Proposes Listed Companies Have Internal Audit Function

The SEC has published for comment Nasdaq’s rule proposal that Nasdaq listed companies have an internal audit function. The rule proposal is as follows...more

3/6/2013 - Audits Nasdaq Risk Management SEC

Law Firm Disclosures Under Stock Exchange Compensation Committee Independence Requirements

The NYSE and Nasdaq have recently adopted rules which will require compensation committees to consider certain enumerated factors before selecting, or receiving advice from, a compensation consultant, legal counsel or other...more

1/30/2013 - Compensation Committee Dodd-Frank Nasdaq NYSE

A Checklist To Comply With The New Nasdaq Compensation Committee Independence Rules

The SEC has approved Nasdaq’s compensation committee independence rules. By July 1, 2013, most listed issuers must comply with the following...more

1/17/2013 - Compensation Committee Directors Independence Rules Nasdaq

NYSE And Nasdaq Amend Compensation Committee Independence Proposals

Nasdaq has amended its proposal regarding independence of compensation committees required by the Dodd-Frank Act. Nasdaq proposes to clarify that a compensation committee is not required to conduct the independence...more

1/15/2013 - Compensation Committee Dodd-Frank Listing Standards Nasdaq NYSE

Nasdaq Amends Compensation Committee Proposal

Nasdaq recently amended its rule proposal related to compensation committees required by the Dodd-Frank Act. While the substance of the proposal did not change too much, the transition requirements did, and became more...more

12/24/2012 - Board of Directors Compensation Committee Dodd-Frank Nasdaq

Nasdaq Revises Issuer Disclosure Rules Regarding Notices of Listing Deficiencies

The SEC has approved a Nasdaq rule change regarding issuer disclosure of listing deficiencies. Nasdaq rules provide that when a listed issuer does not meet the exchange’s continued listing standards, Nasdaq notifies the...more

12/6/2012 - Nasdaq SEC

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