News & Analysis as of

New York Stock Exchange Securities Transactions

Mayer Brown Free Writings + Perspectives

NYSE Issues 2024 Listed Company Compliance Guidance Memo

The New York Stock Exchange (“NYSE”), through the NYSE Regulation staff, has issued its annual Listed Company Compliance Guidance Memo for 2024 (“Memo”), which informs NYSE-listed companies of new matters, including the...more

Proskauer - Corporate Defense and Disputes

Supreme Court Requires Traceability for Securities Act Claims Arising from Direct Listings

The U.S. Supreme Court held that purchasers of shares sold to the public through a direct listing cannot sue under Section 11 of the Securities Act of 1933 unless they can trace their shares to an allegedly defective...more

Stinson - Corporate & Securities Law Blog

NYSE Further Amends Related Party Rules

The NYSE recently amended its related party transaction rules to align with Regulation S-K Item 404.  The one key difference from Regulation S-K was that the NYSE did not apply the $120,000 transaction threshold which...more

Proskauer Rose LLP

Preferred Equity PIPEs Provide Flexibility in the Age of COVID-19

Proskauer Rose LLP on

PIPEs (private investments in public equity) provide investors and public companies with a flexible vehicle for bespoke capital solutions that can be executed quickly in the volatile markets that have arisen in the COVID-19...more

Proskauer Rose LLP

NYSE Takes Another Step to Facilitate Capital Raises In Light of Pandemic

Proskauer Rose LLP on

On May 14, 2020, the New York Stock Exchange (the "NYSE") adopted a temporary rule waiving until June 30, 2020 additional key shareholder approval requirements for certain private investments in public equity ("PIPE") and...more

Proskauer Rose LLP

Alternative Equity Offerings for Volatile Markets

Proskauer Rose LLP on

Recent market conditions and volatility due to the COVID-19 pandemic have produced an environment in which traditional securities offerings may prove challenging for public companies. At the same time, the global economic...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Rejects NYSE's Proposed Rules on Direct Listings

On November 26, 2019, the New York Stock Exchange (NYSE) filed a notice of proposed rule change with the Securities and Exchange Commission (SEC) that would have modified NYSE’s direct listing rules to (1) permit companies to...more

Broker-Dealer Compliance + Regulation

SEC Approves NSCC and NYSE T+2 Rule Proposals

On January 4, 2017, the SEC approved the National Securities Clearing Corporation’s (“NSCC”) proposed rule change to conform to the SEC’s proposed Rule 15c6–1(a) amendment and accommodate a second business day after the trade...more

8 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide