Nasdaq

Skadden, Arps, Slate, Meagher & Flom LLP

"Deadline Approaching for Compensation Committee Charter Amendments"

by Michael R. Bergmann, Andrew Brady, Brian V. Breheny, Kristin M. Davis, Berit R. Freeman, Richard J. Grossman, Neil M. Leff, Alessandra K. Murata, Audrey Murga, Timothy Nelson, more +Regina Olshan, David C. Olstein, Erica Schohn, Joseph M. Yaffe | Skadden, Arps, Slate, Meagher & Flom LLP on 5/23/2013

As a reminder, by July 1, 2013, compensation committee charters must comply with the new New York Stock Exchange (NYSE) and Nasdaq Stock Market (Nasdaq) listing requirements that were approved by the Securities and Exchange...more

Silicon Valley Venture Capital Survey - First Quarter 2013

by Barry J. Kramer, Michael J. Patrick | Fenwick & West LLP on 5/23/2013

Background-We analyzed the terms of venture financings for 118 companies headquartered in Silicon Valley that reported raising money in the first quarter of 2013....more

Verbatim: Global Compliance - Quarterly Newsletter: Spring 2013

by Orrick, Herrington & Sutcliffe LLP on 5/10/2013

We've highlighted a few notable developments in corporate governance law taking place this spring that may be of interest to you. For more information on any of the topics listed below, please contact us at...more

First Deadline Approaching for NYSE and Nasdaq Listed Companies to Comply with New Compensation Committee Rules

by Paul Bork, Dean Hanley | Foley Hoag LLP on 5/9/2013

As noted in our Securities Alert dated October 9, 2012, the New York Stock Exchange (NYSE) and the Nasdaq Stock Market (Nasdaq) proposed rule changes to their respective listing standards affecting public company boards of...more

What Makes A Director “Independent”?

by Jim Kramer, M. Todd Scott, Alex Talarides | Orrick - Securities Litigation and Regulatory... on 5/3/2013

What makes a director “independent”? That question is important, not only to investors who want to ensure that boards of directors exercise objective judgment on corporate affairs, but also to companies, who need assurance...more

Deadline Approaches for Amending Compensation Committee Charters

by Stephen Farrell | Morgan Lewis on 4/16/2013

Companies must comply with certain final NYSE and NASDAQ listing rules by July 1. By July 1, affected companies must comply with recent amendments to the listing rules of the New York Stock Exchange (NYSE) and the...more

There is a Border in Cross-Border Proceedings - NASDAQ Purchasers Excluded from Ontario Class in IMAX

by Jonathan Bell, Eric Hoaken, Jeffrey S. Leon | Bennett Jones LLP on 4/3/2013

Those who have been following the progress of the securities class action saga of Silver v. IMAX will be interested to note that another decision in the long-running case has been released. On March 19, Justice van Rensburg...more

NASDAQ Files to Change Order Processing Algorithm, Permit Registration of Market Makers and Amend Order Types on PSX

by Tanja Samardzija, James Van De Graaff | Katten Muchin Rosenman LLP on 4/2/2013

In 2010, NASDAQ OMX PHLX LLC (PHLX) launched NASDAQ OMX PSX (PSX) as a platform for trading NMS stocks using a price/size execution model. Now PHLX has filed a proposed rule change to adopt a price/time model for PSX. PHLX is...more

Corporate and Financial Weekly Digest - March 29, 2013

by Katten Muchin Rosenman LLP on 4/1/2013

In this issue: - Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information - SEC Approves on an Accelerated Basis FINRA Rule Change Relating to Margin...more

NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers

by David Kravitz, Mark Wood | Katten Muchin Rosenman LLP on 3/26/2013

On March 4, the Securities and Exchange Commission published notice that The NASDAQ Stock Market LLC (NASDAQ) had filed a proposed new rule that would require each NASDAQ-listed issuer to maintain an internal audit function....more

Corporate and Financial Weekly Digest - March 22, 2013

by Katten Muchin Rosenman LLP on 3/25/2013

In this issue: - NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers - FINRA’s Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time -...more

NASDAQ to Create Marketplace for Trading Stock of Unlisted Companies

by Delcy Sweet | Holland & Knight LLP on 3/20/2013

On March 6, 2013, NASDAQ OMX Group, Inc. and SharesPost, Inc. issued a joint press release announcing that they will enter into a joint venture to form a marketplace for the trading of shares of unlisted companies. The new...more

NASDAQ Proposes Rule Change to Require that Listed Companies Have an Internal Audit Function

by Delcy Sweet | Holland & Knight LLP on 3/20/2013

On February 20, 2013, the NASDAQ Stock Market LLC (NASDAQ) filed with the SEC a proposed rule change to require that listed companies establish and maintain an internal audit function, which could be outsourced to a...more

Inside Out: NASDAQ Proposes Rule To Require Internal Auditing

by William Alderman, Steven Hong, David Keenan | Orrick - Securities Litigation and Regulatory... on 3/19/2013

The NASDAQ Stock Market recently submitted a proposed rule change that would require all companies listed on the NASDAQ to maintain an internal audit function. The function would “provide management and the audit committee...more

Proposed Nasdaq Rule Would Require an Internal Audit Function at All Listed Companies

by Wilson Sonsini Goodrich & Rosati on 3/19/2013

The NASDAQ Stock Market LLC (Nasdaq) recently filed with the Securities and Exchange Commission (SEC) a proposed rule requiring listed companies to establish and maintain an internal audit function. The SEC is soliciting...more

Nasdaq Proposes Listed Companies Have Internal Audit Function

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 3/6/2013

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

SEC Approves NYSE and NASDAQ Revised Listing Rules Regarding the Independence of Compensation Committees and Their Advisers

by Proskauer Rose LLP on 3/6/2013

Amendments to the stock exchange listing rules governing compensation committee independence were finalized recently, as the U.S. Securities and Exchange Commission (SEC), the New York Stock Exchange (NYSE) and the NASDAQ...more

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"Deadline Approaching for Compensation Committee Charter Amendments"

Silicon Valley Venture Capital Survey - First Quarter 2013

Verbatim: Global Compliance - Quarterly Newsletter: Spring 2013

First Deadline Approaching for NYSE and Nasdaq Listed Companies to Comply with New Compensation Committee Rules

What Makes A Director “Independent”?

Deadline Approaches for Amending Compensation Committee Charters

There is a Border in Cross-Border Proceedings - NASDAQ Purchasers Excluded from Ontario Class in IMAX

NASDAQ Files to Change Order Processing Algorithm, Permit Registration of Market Makers and Amend Order Types on PSX

Corporate and Financial Weekly Digest - March 29, 2013

NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers

Corporate and Financial Weekly Digest - March 22, 2013

NASDAQ to Create Marketplace for Trading Stock of Unlisted Companies

NASDAQ Proposes Rule Change to Require that Listed Companies Have an Internal Audit Function

Inside Out: NASDAQ Proposes Rule To Require Internal Auditing

Proposed Nasdaq Rule Would Require an Internal Audit Function at All Listed Companies

Nasdaq Proposes Listed Companies Have Internal Audit Function

SEC Approves NYSE and NASDAQ Revised Listing Rules Regarding the Independence of Compensation Committees and Their Advisers

NYSE and Nasdaq Adopt Listing Standards for Compensation Committees and Compensation Advisers

Public Company Adviser - February 2013: New Listing Standards Affect Compensation Committees

SEC Approves New Corporate Governance Listing Standards for Compensation Committees and Advisers

Small Business Securities Bulletin - SEC Approves Nasdaq Rule Addressing Compensation Committees, Consultants

Independence of Compensation Consultants – Looking Forward and Backward

Market Trends & Legal Developments for Dealmakers - Quarter 4: 2012

Fourth Quarter 2012

SEC Approves Final NYSE and NASDAQ Compensation Committee Rules

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