Nasdaq, SEC | JD Supra Law News

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

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

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 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

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

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

by King & Spalding on 2/28/2013

In January 2013, the Securities and Exchange Commission approved new NYSE and Nasdaq listing standards addressing the independence of compensation committees and their advisers. In this edition of the Public Company...more

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

by Christina Chan, Ryan York | Davis Wright Tremaine LLP on 2/28/2013

On Jan. 11, 2013, the Securities and Exchange Commission (the “SEC”) approved amended corporate governance listing standards for the New York Stock Exchange (the “NYSE”) and the Nasdaq Stock Market (the “Nasdaq”). The amended...more

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

by Penny Somer Greif | Ober|Kaler on 2/22/2013

A periodic bulletin keeping small businesses informed about current developments in securities law and related matters. Final Nasdaq Rule - In our October 2012 Bulletin, we discussed The NASDAQ Stock Exchange LLC’s...more

Independence of Compensation Consultants – Looking Forward and Backward

by Robert Morris | Reed Smith on 2/21/2013

On January 11 2013, the Securities and Exchange Commission approved rule changes proposed by the New York Stock Exchange (“NYSE”) and the NASDAQ Stock Market (“Nasdaq”), adding new requirements for consultants retained by...more

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

by Sheppard Mullin Richter & Hampton LLP on 2/15/2013

In This Issue: -Market Trends -Venture Capital -Private Equity -Initial Public Offerings -Mergers & Acquisitions -Legal Updates -Jobs Act & Capital Markets -Mergers &...more

Fourth Quarter 2012

by Louis Lehot, Kevin Rooney | Sheppard Mullin Richter & Hampton LLP on 2/14/2013

We are pleased to make available to you our quarterly update on dealmaking market trends and legal developments for Fourth Quarter 2012....more

SEC Approves Final NYSE and NASDAQ Compensation Committee Rules

by Linda Griggs, Albert Lung, David Sirignano | Morgan Lewis on 2/5/2013

Companies are required to comply with certain of the new listing standards relating to compensation adviser independence by July 1, 2013. On January 11, 2013, the Securities and Exchange Commission (SEC) approved...more

SEC Approves NYSE and NASDAQ Rules on Compensation Committees and Advisers

by Rory Donald, Craig D. Miller | Manatt, Phelps & Phillips, LLP on 1/30/2013

The Securities and Exchange Commission has approved new listing requirements promulgated by the New York Stock Exchange and the NASDAQ Stock Market relating to the composition and oversight provided by compensation...more

Executive Compensation and Corporate and Securities Alert: SEC Adopts NYSE and Nasdaq Rules Relating to Compensation Committees...

by Gerald Audant, Grace Chen, Sofia Chesnokova, Elizabeth Gartland, Shawn Lampron, Blake Martell, Marshall Mort, Adriana Sherwood, Scott P. Spector | Fenwick & West LLP on 1/30/2013

On January 11, 2013 the Securities and Exchange Commission ("SEC") approved the equity listing standards proposed by the NYSE and Nasdaq, as amended1 regarding compensation committee independence criteria and compensation...more

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