Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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Latest Posts › NYSE


SEC Investor Advocate Wants to Nix NYSE Proposal

The SEC Office of Investor Advocate has recommended disapproval of a proposed rule change of the New York Stock Exchange. In its proposed rulemaking, the NYSE would exempt certain early stage companies from having to obtain...more

10/19/2015 - Early Stage Companies Investment Investors NYSE Rulemaking Process SEC Shareholder Approval Stock Exchange

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

NYSE Proposes Modifications To Charges To Issuers For Proxy Distributions

The NYSE has proposed amendments to NYSE Rules 451 and 465, and the related provisions of Section 402.10 of the NYSE Listed Company Manual. Those rules provide a schedule for the reimbursement of expenses by issuers to NYSE...more

2/20/2013 - Brokers NYSE Proposed Amendments Proxy Materials Reimbursements

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 NYSE Compensation Committee Independence Rules

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

1/17/2013 - Compensation Committee Directors Executive Compensation Independence Rules NYSE

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

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