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Nasdaq Financial Markets

Mayer Brown Free Writings + Perspectives

Nasdaq Proposes to Tighten Non-Compliance Period

On June 21, 2024, The Nasdaq Stock Exchange (“Nasdaq”) filed a proposed rule change with the Securities and Exchange Commission to modify the application of the bid price compliance period as a result of which a company takes...more

Procopio, Cory, Hargreaves & Savitch LLP

What Legal Trends are Impacting MicroCap Issuers in 2024?

The legal and regulatory landscape for MicroCap investing is ever-evolving, including challenges involving compliance with the rules of the U.S. Securities and Exchange Commission (SEC) and securities exchanges including...more

Walkers

Benefits of Jersey companies for UK & US listings

Walkers on

Recent weeks and months have seen regular coverage on the growing trend of large UK based companies exploring listings on US stock exchanges such as New York Stock Exchange (NYSE) and Nasdaq at the expense of the London Stock...more

Mayer Brown Free Writings + Perspectives

Waivers of Code of Conduct for Nasdaq Listed Companies

On September 5, 2023, the Securities and Exchange Commission (the “SEC”) posted and declared effective a Nasdaq rule proposal modifying requirements related to a waiver of the code of conduct in Listing Rules 5610 and...more

Sheppard Mullin Richter & Hampton LLP

Financial Crimes Makes Debut in FINRA Annual Priorities Preview

FINRA punctuated its annual post-New Year’s Report on FINRA’s Examination and Risk Monitoring Program (the “Report”), by including a new target category “Financial Crimes.” The inclusion of this category is noteworthy not...more

Woodruff Sawyer

Inflation, Recession, and IPOs: An Economic Update with Nasdaq

Woodruff Sawyer on

How accurate is all the talk about never-ending inflation and an inevitable, brutal recession in 2023? Maybe not that accurate. The data seems to be telling a very different story. Earlier this month, Woodruff Sawyer hosted...more

Robins Kaplan LLP

Inflation Fears Drive Wall Street Into Bear Market Territory

Robins Kaplan LLP on

Hardly the start to mid-June that we wanted, with markets around the world taking a beating on Monday. The Nasdaq was down more than 4.5%, the Dow nearly 2.8%, and the S&P 500 dipped into official bear market territory. Last...more

Robins Kaplan LLP

Mining Giant Glencore Fined $1.1B Over Global Bribery and Price Manipulation Scheme

Robins Kaplan LLP on

Glencore, a giant in the commodities and mining scenes, will pay $1.1 billion “to settle charges that two of its units bribed officials in several countries and manipulated oil prices,” a deal that follows “months of...more

Robins Kaplan LLP

Abbott Labs Strikes Deal with FDA to Resume Baby Formula Production in U.S.

Robins Kaplan LLP on

Abbott Laboratories, the maker of Similac baby formula and the company at the heart of America’s current formula shortage, has reportedly “reached an agreement with U.S. health officials to restart production at its largest...more

White & Case LLP

Repricing Underwater Options

White & Case LLP on

In this time of market volatility, White & Case LLP partners Colin Diamond (Chair of US Public Company Advisory) and Henrik Patel (Global Head of Employment, Compensation and Benefits) address the securities law, tax and...more

Robins Kaplan LLP

Union Bid Voted Down at Second Staten Island Amazon Warehouse

Robins Kaplan LLP on

In a major reversal of recent trends, workers at an Amazon warehouse not far from the first to unionize just last month rejected a similar effort to organize by a 2-1 margin. The result “was a setback for the upstart Amazon...more

Robins Kaplan LLP

Alphabet Impresses with Massive Q4 Earnings, Plans Stock Split

Robins Kaplan LLP on

Alphabet posted Q4 revenue of $75 billion that resulted in more than $20 billion of profit for Google’s parent company—a 32% increase from a year earlier. The figures topped analyst expectations across the board and sent...more

Robins Kaplan LLP

Choppy Markets Await Fed Policy Guidance

Robins Kaplan LLP on

Tuesday saw another Dr. Jekyll/Mr. Hyde day on Wall Street, with markets diving to start the day before a late rally that petered out and left the Nasdaq down more than 2% and  the S&P 500 down about half that...more

Robins Kaplan LLP

Navient to Forgive $1.7B in Loans Under Settlement Over Predatory Lending

Robins Kaplan LLP on

Former top student loan servicing giant Navient has “reached a $1.85 billion deal with 39 states to settle claims that it had made predatory loans that saddled borrowers with crushing debts they were highly unlikely to...more

Robins Kaplan LLP

Fed Vice Chair Resigns in Wake of Trading Scandal

Robins Kaplan LLP on

Fed Vice Chair Richard Clarida is heading to the door earlier than planned in what appears to be continuing fallout from 2020 trades he made “as the central bank was poised to rescue financial markets.” Clarida corrected his...more

Robins Kaplan LLP

Financial Daily Dose 12.17.2021 - NY Judge Rejects Purdue Pharma Settlement Over Sackler Family Liability Shield

Robins Kaplan LLP on

New York Federal Judge Colleen McMahon has “overturned the confirmation of Purdue Pharma’s Chapter 11 plan,” after determining that the bankruptcy court “did not have the legal right to release claims against the company’s...more

Mayer Brown Free Writings + Perspectives

Market Trends 2020/21: Registered Direct Offerings

This practice note discusses recent market trends regarding registered direct offerings. It begins by discussing the advantages these offerings provide to issuers and continues with a review of current deal structure and...more

Stinson - Corporate & Securities Law Blog

NYSE Proposal Addresses Abstentions in Definition of “Votes Cast”

Section 312.07 of the NYSE Listed Company Manual provides that, where shareholder approval is a prerequisite to the listing of any additional or new securities of a listed company, or where any matter requires shareholder...more

Robins Kaplan LLP

Financial Daily Dose 9.24.2021 | Top Story: China Rocks Digital Currency World by Banning Crypto Transactions

Robins Kaplan LLP on

An already challenging week for cryptos just got much worse, now that China’s central bank has declared “all cryptocurrency-related transactions . . . illegal, reinforcing the country’s tough stance against digital rivals to...more

Robins Kaplan LLP

Financial Daily Dose 7.21.2021 | Top Story: White House Names Google Critic Kanter to Lead DOJ Antitrust Division

Robins Kaplan LLP on

The Biden Administration has nominated prominent Google critic Jonathan Kanter to lead the DOJ’s antitrust division. Kanter is “a longtime antitrust lawyer who has represented companies that argue they have been harmed by the...more

Robins Kaplan LLP

Financial Daily Dose 3.10.2021 | Top Story: Tech Stocks Rebound, Lifting Tesla and Bitcoin

Robins Kaplan LLP on

Tech stocks roared back on Tuesday just a day after the Nasdaq hit correction territory, as “buy-the-dip” won out and led to a nearly-4% jump for the tech-heavy index ...more

Robins Kaplan LLP

Financial Daily Dose 2.5.2021 | Top Story: Senate Advances $1.9 Trillion White House Covid Relief Measure

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With Vice President Harris acting as the tiebreaker (and following a 15-hour amendment vote-a-rama), the Senate voted on Thursday to move forward with the White House’s $1.9 trillion Covid relief measure....more

Mayer Brown Free Writings + Perspectives

SEC Solicits Comment on NYSE Proposed Changes to Shareholder Approval Rules

On December 16, 2020, the New York Stock Exchange (“NYSE”) filed a proposed rule change to certain of its shareholder approval requirements, which would bring the NYSE’s shareholder approval rules into closer alignment with...more

Morgan Lewis

SEC Approves NYSE Rules Allowing Companies to Raise Money in Registered Direct Offerings

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The US Securities and Exchange Commission has approved New York Stock Exchange rule changes that will grant the exchange discretion to allow companies to raise money by selling common shares in registered direct offerings,...more

Robins Kaplan LLP

Financial Daily Dose 11.10.2020 | Top Story: EU Unveils New Antitrust Investigation and Charges Against Amazon

Robins Kaplan LLP on

The European Union has unveiled a new antitrust probe and accompanying charges against Amazon over alleged the “use of non-public business data from independent sellers on its marketplace that could benefit the company’s own...more

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