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Results: 1-10 of 337

SEC Approves New Continued Listing Standards for ETFs
  • Dechert LLP
  • USA
  • March 23 2017

Since their U.S. introduction in 1993, exchange-traded funds (ETFs) - which have grown to over 1,800 products with holdings of over $2.7 trillion1 -


SEC Rulemaking Developments 2016
  • Davies Ward Phillips & Vineberg LLP
  • USA
  • February 16 2017

The U.S. Securities and Exchange Commission (SEC) had a busy rulemaking year in 2016. As part of its Disclosure Effectiveness Initiative launched at


SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule
  • Greenberg Traurig LLP
  • USA
  • July 18 2016

On July 1, 2016, the Securities and Exchange Commission (SEC) approved changes to the NASDAQ Listing Rules that will now require every NASDAQ-listed


Financial services update February 24 2014 exchanges and self-regulatory organizations
  • Winston & Strawn LLP
  • USA
  • February 24 2014

On February 20th, Bloomberg reported stock exchange representatives and participants have been lobbying the SEC as part of an effort to reform the


SEC approves NYSE and NASDAQ revised Listing Rules regarding the independence of compensation committees and their advisers
  • Proskauer Rose LLP
  • USA
  • March 5 2013

Amendments to the stock exchange Listing Rules governing compensation committee independence were finalized recently, as the U.S. Securities and


NASDAQ proposes retail price improvement plan
  • Winston & Strawn LLP
  • USA
  • December 10 2012

December 3rd, the SEC provided notice of the NASDAQ Stock Market's filing of a proposed rule change that would establish the Retail Price Improvement Program on a pilot basis


Fees for optional wireless connectivity for co-located clients are proposed
  • Winston & Strawn LLP
  • USA
  • October 29 2012

On October 23rd, the SEC provided notice of the NASDAQ Stock Market's filing of a proposed rule change establishing fees for the receipt of third party market data and NASDAQ TotalView ITCH market data


SEC approves more stringent listing requirements for reverse merger companies
  • Chadbourne & Parke LLP
  • USA
  • November 17 2011

On November 9, 2011, the Securities and Exchange Commission approved new rules proposed by the NYSE, NASDAQ and NYSE Amex that require stricter listing requirements for “reverse merger” transactions, in which a private operating company goes public by merging into a public shell company


SEC approves tougher listing standards for reverse merger companies
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • November 17 2011

In response to recent investigations into companies that went public through reverse merger transactions, the Securities and Exchange Commission (SEC) has approved new rules proposed by NASDAQ, NYSE Amex and the New York Stock Exchange (NYSE) that call for, among other things, a “seasoning” period following the reverse merger


SEC approves tougher new rules for reverse merger companies
  • Baker & Hostetler LLP
  • USA
  • November 14 2011

The Securities and Exchange Commission has approved new rules that tighten U.S. stock exchange listing standards for companies that have gone public through a reverse merger