NASDAQ And NYSE American Shareholder Approval Requirements– Change Of Control
Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing securities...
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NASDAQ Listing Requirements
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The 20% Rule- Acquisitions
Nasdaq and the NYSE American both have “20% Rules” requiring listed companies to receive shareholder approval prior to issuing unreg...
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NYSE American Compliance Guidance MEMO
In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies. The annual letter update...
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Nasdaq Amends Its 20% Dilution Shareholder Approval Rule
Effective September 26, 2018, Nasdaq amended Rule 5635(d) to provide greater flexibility and certainty for companies to determine wh...
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NASDAQ Issues Report Advocating for The U.S. Public Markets
Before SEC Commissioner Michael Piwowar’s May 16, 2017, speech at the SEC-NYU Dialogue on Securities Market Regulation regarding the...
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