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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…
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…
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…
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…
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”)…
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…
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…
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…
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…
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…
