New York Stock Exchange

News & Analysis as of

SEC Proposes Broadened Executive Compensation “Clawback” Rules

On July 1, the SEC proposed rules requiring national security exchanges (such as NYSE and Nasdaq) to establish listing standards requiring publicly traded companies to adopt, comply with and disclose written clawback...more

Coming to America – A Guide for FPIs

In this Issue: - The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States - Chapter 1: Background - Chapter 2: Unregistered Global Offerings – Regulation S, Rule 144A and...more

The Financial Report - Volume 4, No. 11 • June 2015 (Global)

FRB will extend high-quality liquid asset status to some state and municipal bonds. The FRB has proposed a rule that would recognize certain general obligation state and municipal bonds meeting the same liquidity...more

Update on Proposed Listing Standards for Active ETFs

The SEC is considering an amended proposal by NYSE Arca to adopt generic listing standards for actively managed ETFs. On June 5, the US Securities and Exchange Commission (SEC) issued an order (the Order) instituting...more

Blog: Regulatory Salmagundi

Release of no-review letters. As you know, the SEC has been releasing the give and take of comment letter correspondence with registrants for a number of years. Now the SEC has announced that, beginning July 1, 2015, Corp...more

The Buck Stops Here: CEOs Held Most Accountable by Directors for Major Data Breaches

According to a recent joint survey of nearly 200 directors of public companies by the New York Stock Exchange and Veracode, CEOs are most likely to be held responsible in the event of a major data breach, ahead of the chief...more

Why The WSJ Is Wrong About SEC Rulemaking On Claw backs

As noted by Broc Romanek, The Wall Street Journal yesterday announced: The Securities and Exchange Commission will soon propose long-awaited rules forcing companies to claw back, or revoke, some of their top...more

ACE Portal, in association with NYSE, Brings Technology to Private Equity Fundraising – An Interview with the General Counsel

In the Summer 2014 issue of the PE Newsletter we reviewed a private placement platform set up by ACE Portal, in partnership with the New York Stock Exchange, to facilitate the private placement of securities by issuers. The...more

NYSE Proposes Rule Changes Requiring Foreign Private Issuers to Submit Semi-Annual Financial Information to SEC

The New York Stock Exchange (NYSE) recently proposed amendments to the NYSE Listed Company Manual (Manual) to adopt a requirement that NYSE-listed foreign private issuers (FPIs) submit semi-annual unaudited financial...more

The Financial Report - Volume 4, No. 6 • March 2015 (Global)

OSC Investor Advisory Panel annual report. The Ontario Securities Commission (OSC) Investor Advisory Panel submitted its 2013-14 annual report. The report summarizes the Panel’s current activities and priorities as well...more

NYSE Amends “Late Filer Rule”

Effective March 2, the New York Stock Exchange amended its rule (commonly referred to as the “late filer rule”) that applies to listed companies that do not timely file their periodic reports with the Securities and Exchange...more

Corporate and Financial Weekly Digest - Volume X, Issue 10

In This Issue: - NYSE Amends "Late Filer Rule" - CFTC Responds to District Court's Remand Order on Certain Cross-Border Swaps Rules - Delaware Chancery Court Addresses Proper Purpose for Inspection...more

Governance & Securities Law Focus: Latin America Edition - February 2015

In this issue: - SEC and NYSE Developments - Noteworthy US Securities Law Litigation - Recent SEC/DOJ Enforcement Matters - Executive Compensation & Employee Benefits Developments -...more

"US IPO Market Review and Outlook: Can the Pace Continue?"

The 2014 U.S. initial public offering market was the most active for new issues since 2000. The market began to recover from the recession in 2010 and took off in 2013 with 222 offerings raising an aggregate of $55 billion,1...more

Insurance Recovery Law - January 2015 #2

More Important Rulings From J.P. Morgan's New York Coverage Litigation - Why it matters: A New York Appellate Court unanimously held that a group of insurers could not invoke a Dishonest Acts Exclusion in a...more

Governance & Securities Law Focus: Asia Edition, January 2015

In this issue: - Japan Releases Exposure Draft of New Corporate Governance Code - Launch of Shanghai-Hong Kong Stock Connect - SEC and NYSE Developments - Noteworthy US Securities Law Litigation...more

Financial Services Weekly News Roundup - January 2015

Editor’s Note: FINRA Rulemaking: In this issue we report on three recent FINRA rule amendments. The first amends the NASD rule on the use of customer account statements to require that member firms use more accurate...more

NYSE to Make Late Filings Rule Applicable to Form 10-Q and Defective Filings

The NYSE proposes to amend its continued listing requirements in relation to the late filing of a company’s annual report with the SEC as set forth in Section 802.01E, or the Late Filer Rule, of the Listed Company Manual. As...more

Financial Services Weekly News Roundup - November 2014 #4

Editor’s Note: Spotlight on the FDIC: In a Financial Institutions Letter, FIL-56-2014, the FDIC announced additional guidance on its 1998 Statement of Policy on Applications for Deposit Insurance in a Q&A format on...more

How New Litigation May Change "Dark Pool" Trading

Last spring popular author Michael Lewis described the world of high-frequency stock trades and dark pools in his book, Flash Boys. Between then and now, the New York Attorney General (“NYAG”), a group of public investors,...more

Structured Thoughts: Volume 5, Issue 7 - November 11, 2014

In This Issue: - Index Changes and Successor Indices: Avoiding Delisting From The NYSE Arca - EU PRIIPS Regulation Expected to Come Into Force - UK Review of the Fixed Income, Currency and Commodities...more

FINRA's New Consolidated Supervision Rules: A Roadmap to Compliance

The Financial Industry Regulatory Authority (FINRA) has adopted comprehensive new consolidated rules regarding supervision of member firms' activities, which become effective on December 1. While the new FINRA rules...more

Proposed FINRA Rule 2231 Governing Customer Account Statements

Through its recent Regulatory Notice 14- 35, the Financial Industry Regulatory Authority (“FINRA”) announced and sought comments on its proposed new Rule, FINRA Rule 2231, governing the frequency and availability of customer...more

SEC Requests Comment on Proposed FINRA Rules Regarding Payment to Unregistered Persons

On September 25, 2014, the U.S. Securities and Exchange Commission (the “SEC”) solicited public comment on proposed FINRA rule changes (the “proposal”) that would substantively amend existing NASD and NYSE rules regarding...more

Reminder to NYSE and NASDAQ Companies to Comply with Dodd-Frank Act Compensation Committee Requirements and Certify Compliance

Public companies with securities listed on the NASDAQ Stock Market or the New York Stock Exchange should take note of the approaching deadline for complying with the final portions of the new compensation committee...more

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