Cooley LLP | USA | 8 Jun 2023
On Tuesday and Wednesday of this week, the New York Stock Exchange (NYSE) and the Nasdaq Stock Market filed amendments to their proposed clawback…
Snell & Wilmer LLP | USA | 8 Jun 2023
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…
Ogier | Cayman Islands | 5 Jun 2023
The dissenting shareholders in Trina Solar have successfully challenged the fair value awarded to them by the Grand Court of the Cayman Islands…
Carey Olsen | Jersey | 12 May 2023
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…
Bryan Cave Leighton Paisner LLP | USA | 3 May 2023
As discussed in our February 27, 2023 post, the NYSE and Nasdaq previously issued their proposed listing rules (the “Proposed Listing Rules”)…
Morgan, Lewis & Bockius LLP | USA | 28 Apr 2023
Last fall, the US Securities and Exchange Commission (SEC) announced that it had adopted new rules directing national securities exchanges, including…
Fried Frank Harris Shriver & Jacobson LLP | USA | 10 Apr 2023
An online broker-dealer settled charges with NYSE Arca for failing to timely process a reverse stock split causing customers to trade using…
Fried Frank Harris Shriver & Jacobson LLP | USA | 10 Apr 2023
An Options Trading Permit firm settled charges with NYSE American and NYSE Arca (see here and here) for executing equity transactions in advance of…
Fried Frank Harris Shriver & Jacobson LLP | USA | 10 Apr 2023
A market-maker settled charges with NYSE American and NYSE Arca (see here and here) for exceeding option position limits. In separate Letters of…
Davies Ward Phillips & Vineberg LLP | USA | 17 Mar 2023
The New York Stock Exchange (NYSE) and the NASDAQ Stock Market (Nasdaq) recently proposed new listing standards to implement the U.S. Securities and…