Law Blog Category: NASDAQ

NASDAQ Issues Report Advocating for The U.S. Public Markets

October 24, 2017 in IPO, NASDAQ, NASDAQ Listing Requirements

Before SEC Commissioner Michael Piwowar’s May 16, 2017, speech at the SEC-NYU Dialogue on Securities Market Regulation regarding the U.S. IPO Market (see summary HERE), and SEC Chair Jay Clayton’s July 12, 2017, speech to the Economic Club of New York (see summary HERE), the topic of the U.S. IPO market had already gained significant Read the full article…

SEC Adopts The T+2 Trade Settlement Cycle

ABA Journal’s 10th Annual Blawg 100 —————————————————————————————————— Introduction and brief summary of the rule On March 22, 2017, the SEC adopted a rule amendment shortening the standard settlement cycle for broker-initiated trade settlements from three business days from the trade date (T+3) to two business days (T+2). The change is designed to help enhance efficiency Read the full article…

SEC Issues White Paper On Penny Stock Risks

February 21, 2017 in NASDAQ, NYSE MKT, OTC Market, OTC Pink, OTCBB, OTCQB, OTCQX

On December 16, 2016, the SEC announced several new settled enforcement proceedings against market participants including issuers, attorneys and a transfer agent, related to penny stock fraud. On the same day the SEC issued a new white paper detailing the risks associated with investing in penny stocks. This blog summarizes the SEC white paper. As Read the full article…

Changes In India’s Laws Related To Foreign Direct Investments- A U.S. Opportunity; Brief Overview For Foreign Private Issuers

Make Laura Anthony’s Blog Site #1 Click Icon Below and Vote NOW In June 2016, the Indian government announced new rules allowing for foreign direct investments into Indian owned and domiciled companies. The new rules continue a trend in laws supporting India as an open world economy.  A large portion of the U.S. public marketplace Read the full article…

NASDAQ Requires Disclosure Of Third-Party Director Compensation

On July 1, 2016, the SEC approved NASDAQ’s new rule requiring listed companies to publicly disclose compensation or other payments by third parties to members of or nominees to the board of directors. The new rule, which went into effect in early August, is being dubbed the “Golden Leash Disclosure Rule.” The Golden Leash Disclosure Read the full article…

Confidentially Marketed Public Offerings (CMPO)

OTC Markets Petitions The SEC To Expand Regulation A To Include SEC Reporting Companies

NYSE MKT Listing Requirements

NASDAQ Listing Requirements

The U.S. Capital Markets Clearance And Settlement Process

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