Refine your search

Content type
Tags
Firm name
Author
Jurisdiction
Language

1,891 results found

Article
Ask Lexy

Cooley LLP | USA | 8 Jun 2023

NYSE and Nasdaq Delay Effectiveness of Clawback Listing Standards

On Tuesday and Wednesday of this week, the New York Stock Exchange (NYSE) and the Nasdaq Stock Market filed amendments to their proposed clawback…
Article
Ask Lexy

Snell & Wilmer LLP | USA | 8 Jun 2023

NYSE and Nasdaq File Amended Proposed Clawback-Related Listing Standards

As described in Part 4 of our 2022 end of year plan sponsor “to do” list, on October 26, 2022, the Securities and Exchange Commission published the…
Article
Ask Lexy

Ogier | Cayman Islands | 5 Jun 2023

Trina Solar: dissenting shareholders successfully challenge fair value awarded by Cayman Grand Court

The dissenting shareholders in Trina Solar have successfully challenged the fair value awarded to them by the Grand Court of the Cayman Islands…
Article
Ask Lexy

Carey Olsen | Jersey | 12 May 2023

Why use Jersey companies for U.S. listings?

Jersey entities are familiar to U.S. investors and have become increasingly popular for equity and debt listings in the U.S., in particular on the…
Article
Ask Lexy

Bryan Cave Leighton Paisner LLP | USA | 3 May 2023

Clawback policies: you do have a few options

As discussed in our February 27, 2023 post, the NYSE and Nasdaq previously issued their proposed listing rules (the “Proposed Listing Rules”)…
Article
Ask Lexy

Morgan, Lewis & Bockius LLP | USA | 28 Apr 2023

Preparing for SEC’s Clawback Policies: 10 Compliance Tips for Public Companies

Last fall, the US Securities and Exchange Commission (SEC) announced that it had adopted new rules directing national securities exchanges, including…
Article
Ask Lexy

Fried Frank Harris Shriver & Jacobson LLP | USA | 10 Apr 2023

Broker-Dealer Fined for Failing to Timely Process Reverse Stock Split

An online broker-dealer settled charges with NYSE Arca for failing to timely process a reverse stock split causing customers to trade using…
Article
Ask Lexy

Fried Frank Harris Shriver & Jacobson LLP | USA | 10 Apr 2023

Firm Fined for Anticipatory Hedging of Options Trading

An Options Trading Permit firm settled charges with NYSE American and NYSE Arca (see here and here) for executing equity transactions in advance of…
Article
Ask Lexy

Fried Frank Harris Shriver & Jacobson LLP | USA | 10 Apr 2023

Market-Maker Fined for Exceeding Option Position Limits

A market-maker settled charges with NYSE American and NYSE Arca (see here and here) for exceeding option position limits. In separate Letters of…
Article
Ask Lexy

Davies Ward Phillips & Vineberg LLP | USA | 17 Mar 2023

NYSE and Nasdaq Propose Listing Standards Requiring Issuers to Adopt Clawback Policies to Recover Erroneously Awarded Incentive-Based Executive Compensation

The New York Stock Exchange (NYSE) and the NASDAQ Stock Market (Nasdaq) recently proposed new listing standards to implement the U.S. Securities and…
Previous page 1 2 3 ...