NASDAQNASDAQ Listing RequirementsNYSE NASDAQ And NYSE American Shareholder Approval Requirements– Change Of Control Laura Anthony, Esq.April 9, 2019 April 9, 2019 Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing securities... 01.7K00
IPONASDAQNASDAQ Listing RequirementsNYSE NYSE American Compliance Guidance MEMO Laura Anthony, Esq.February 26, 2019 In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies. The annual letter update... 047300
NASDAQNASDAQ Listing RequirementsPrivate Investment in Public Equity (PIPE) Nasdaq Amends Its 20% Dilution Shareholder Approval Rule Laura Anthony, Esq.December 18, 2018 Effective September 26, 2018, Nasdaq amended Rule 5635(d) to provide greater flexibility and certainty for companies to determine wh... 01.1K00
IPONASDAQNASDAQ Listing Requirements NASDAQ Issues Report Advocating for The U.S. Public Markets Laura Anthony, Esq.October 24, 2017 Before SEC Commissioner Michael Piwowar’s May 16, 2017, speech at the SEC-NYU Dialogue on Securities Market Regulation regarding the... 031200
14c Information StatementNASDAQProxy StatementSEC NASDAQ Requires Disclosure Of Third-Party Director Compensation Laura Anthony, Esq.October 11, 2016 October 11, 2016 On July 1, 2016, the SEC approved NASDAQ’s new rule requiring listed companies to publicly disclose compensation or other payments b... 032700
NASDAQNASDAQ Listing RequirementsNYSE MKT Listing RequirementsReverse MergersSEC NYSE MKT Listing Requirements Laura Anthony, Esq.June 14, 2016 December 5, 2016 01K00
FINRANASDAQNASDAQ Listing RequirementsNYSE MKTNYSE MKT Listing RequirementsUncategorized NASDAQ Listing Requirements Laura Anthony, Esq.April 26, 2016 September 6, 2016 068200
Broker-DealerCrowdfundingJOBS ACTJOBS ACT and CrowdfundingNASDAQRegulation DRule 144Rule 506 NASDAQ To Acquire Sharepost And Create The NASDAQ Private Exchange Laura Anthony, Esq.March 11, 2013 019500
CrowdfundingJOBS ACTNASDAQReverse MergersSecurities Attorneys NASDAQ Lowers Price Per Share Initial Listing Requirement Laura Anthony, Esq.May 10, 2012 The SEC has approved the recent NASDAQ rule change to lower the minimum bid listing requirement from $4.00 to either $2.00 or $3.00... 023000