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Thomas Gorman
Steven A. Meyerowitz
over 9 years ago
Financial Fraud Law
Financial Fraud Law Blog
3 Key Takeaways from Securities Class Action Filings Report
Once again, Cornerstone Research and the Stanford Law School Securities Class Action Clearinghouse have prepared an annual report on the securities class action filings. And, once again, the report, Securities Class Action Filings—2013 Year in Review...
Thomas O. Gorman
over 11 years ago
Litigation
Litigation Blog
Securities Litigation This Week: Looming Scandal, SEC Actions, Criminal Cases
The SEC is about to become entangled in another scandal, according to reports in the New York Times this week. The latest involves the destruction of documents, according to press reports. The Supreme Court's ruling on what constitutes primary...
Thomas O. Gorman
over 9 years ago
Litigation
Litigation Blog
The Week In Securities Litigation: Record Payments, Potentially Significant MOU
Record payments and a potentially significant MOU were the focus in securities enforcement litigation this week. French oil and gas giant Total paid the DOJ and the SEC $398 million to settle FCPA charges, the fourth largest sum paid in settlement of...
Thomas O. Gorman
over 9 years ago
Litigation
Litigation Blog
Securities Litigation Update For Aug. 9 – 30, 2013: Recent Outage At NASDAQ Focus Of Regulators
The recent outage at NASDAQ, the latest difficulty at an exchange, is a current focus of regulators. The SEC is investigating, reportedly examining the reasons a system for distributing stock quotes and prices was not adequate, according to a Reuters...
Thomas O. Gorman
over 9 years ago
Litigation
Litigation Blog
The Week in Securities Litigation: SEC Files Another Reg FD Action
The recent NASDAQ outage was a key focus this week. The SEC held a meeting attended by the leaders of the securities and options exchanges, FINRA, DTCC and the Options Clearing Corporation. At its conclusion the SEC Chair gave the participants a homework...
David N. Feldman
over 11 years ago
Corporate
Corporate Law Blog
Small Sigh of Relief – Nasdaq “Seasoning” Proposal Exempts Underwritten Deals
Well you can never accuse me of being a good newsman! A short report in our industry trade publication surprised all. Nasdaq apparently was requesting a 6-month wait for all post-reverse merged companies to uplist to Nasdaq. During the 6 months they...
David N. Feldman
over 11 years ago
Corporate
Corporate Law Blog
Chinese Company Accuses Nasdaq of Racism
Greetings from somewhere above the Midwest on my way to speak at the OneMedPlace conference in San Francisco this week, with the latest RM news. Barron's reports that a lawsuit was filed this past Thursday against Nasdaq by CleanTech Innovations...
David N. Feldman
over 11 years ago
Corporate
Corporate Law Blog
More Developments in Proposed “Seasoning” Rules
As you know we previously reported that the Nasdaq has proposed requiring reverse merged companies to trade on the over-the-counter markets and meet other criteria for six months before being able to list on Nasdaq. The initial proposal in April said...
David N. Feldman
over 11 years ago
Corporate
Business Law Blog
Nasdaq Buying NYSE Euronext?
Wow. Today the Nasdaq (technically Nasdaq OMX) made an $11.3 billion bid to buy NYSE Euronext, hoping to outbid Deutsche Boerse's friendly offer. So what happens next? Do we allow a German outfit to own the most famous stock exchange in the world...
Gary Larkin
over 12 years ago
Securities
Securities Law Blog
Nasdaq Hacking a Wake-Up Call for Boards
Don't you find it somewhat ironic that the one part of Nasdaq's website hackers were able to break into was the Directors Desk portal, an online application that allows directors to share confidential information about their boards and corporate...
Andrew Ledbetter
over 10 years ago
Securities
Securities Law Blog
New Nasdaq $2 / $3 Initial Price Listing Standards
As a quick follow up on this topic from a few months ago (prior post can be read here ), the SEC has approved alternatives to Nasdaq's historical $4 minimum bid price listing standard. Under the new alternative listing standards, a security may...
David N. Feldman
over 11 years ago
Securities
Securities Law Blog
Humble Thoughts on Nasdaq Seasoning Proposal
At thesaurus.com, words like "color" and "enliven" are synonyms to the word "seasoning." Unfortunately I don't believe Nasdaq's extreme overreaction to a real, but relatively controlled issue, does either to the...
Timothy Raub
over 9 years ago
Securities
Securities Law Blog
Nasdaq to Pay $10M Penalty for Role in Facebook IPO, Secondary Market Trading
WASHINGTON, D.C. - (Mealey's) In what is being called the largest ever penalty against an exchange, Nasdaq will pay a $10 million penalty to the Securities and Exchange Commission to settle claims that it violated federal securities laws as a result...
David N. Feldman
over 11 years ago
Securities
Securities Law Blog
Nasdaq News: New BX Venture Market Approved
Well, OK. We've just learned that last Friday the SEC approved the Nasdaq's request to establish a new lower level stock exchange, to be dubbed the BX Venture Market. The Nasdaq's original proposal was back in September 2010. I am not...
David N. Feldman
over 11 years ago
Securities
Securities Law Blog
Chinese Company Accuses Nasdaq of Racism
Greetings from somewhere above the Midwest on my way to speak at the OneMedPlace conference in San Francisco this week, with the latest RM news. Barron's reports that a lawsuit was filed this past Thursday against Nasdaq by CleanTech Innovations...
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