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Reviewing ways to proactively address leveraged balance sheets
  • Fried Frank Harris Shriver & Jacobson LLP
  • USA
  • December 17 2008

With the current upheaval in the credit markets, companies with leveraged balance sheets have seen a dramatic change in the options available to them

FINRA expands OATS to all NMS stocks
  • Winston & Strawn LLP
  • USA
  • January 17 2011

On January 11th, the Financial Industry Regulatory Authority announced that effective July 11, 2011, the OATS order recording and reporting obligations in FINRA Rules 7410 through 7470 (OATS Rules), which currently apply to orders for equity securities listed on the NASDAQ Stock Market and OTC equity securities, will begin expanding to include orders in all NMS stocks

Nasdaq proposes change to listing standards to require that listed companies have an internal audit function
  • Cahill Gordon & Reindel LLP
  • USA
  • March 13 2013

The NASDAQ Stock Market LLC ("Nasdaq") recently filed with the Securities and Exchange Commission ("SEC") a proposed rule change requiring that

SEC approves new compensation committee and adviser independence listing standards
  • Morrison & Foerster LLP
  • USA
  • January 18 2013

As discussed in two previous Client Alerts,1 on June 20, 2012, the U.S. Securities and Exchange Commission (the "SEC") adopted Rule 10C-1 to

The SEC’s version of blue collar tactics: looking for the “pop”
  • Dorsey & Whitney LLP
  • USA
  • April 26 2011

Blue collar tactics, such as wire taps and wired informants, coupled with coconspirators who pleaded guilty and then testified for the government have been on display over the last few weeks during insider trading trial of Raji Rajaratnam

NASD and NYSE Member Regulation combine to form FINRA
  • Reed Smith LLP
  • USA
  • August 16 2007

On July 30, in an historic move, NASD and NYSE Member Regulation consolidated into a single regulatory organization for the securities industry

The Times They Are A-Changin’: Movement in the Retail Brokerage Industry
  • Goulston & Storrs PC
  • USA
  • August 1 2018

When selecting a broker, clients consider a host of factors, including both the firm’s and individual broker’s experience, building and client

SEC approves amendments to Nasdaq compliance periods
  • Holland & Knight LLP
  • USA
  • February 8 2010

On January 29, 2010, the SEC approved amendments to Nasdaq’s listing requirements extending the length of certain compliance periods and increasing the time available for a company to provide a plan to regain compliance with certain listing standards

SEC proposes new rules for compensation committees and compensation consultants
  • Fenwick & West LLP
  • USA
  • April 6 2011

The SEC has proposed rules to implement Dodd- Frank Act Section 952, requiring national securities exchanges to prohibit the initial or continued listing of any stock of a company that does not satisfy Compensation Committee member independence criteria and Compensation Committee adviser independence criteria

2011 mid-year merger enforcement update
  • Gibson Dunn & Crutcher LLP
  • USA
  • August 9 2011

As was the case in 2010, antitrust enforcers in the United States and Europe have continued to make headlines by intervening in major merger cases and launching new policy initiatives