Uncategorized Nasdaq Board Independence Standards Laura Anthony, Esq.December 3, 2019 December 3, 2019 Nasdaq Rule 5605 delineates the listing qualifications and requirements for a board of directors and committees, including the indep... 02.5K00
Uncategorized NYSE American Board Independence Standards Laura Anthony, Esq.January 19, 2020 January 19, 2020 NYSE American Company Guide Rule 803 delineates the requirements independent directors and audit committees. NYSE American Company G... 02.3K00
Uncategorized Non-Fungible Tokens Laura Anthony, Esq.March 25, 2022 This one has been on my list for a while and I’m finally ready to dive in – non-fungible tokens (NFTs). In July 2017, the world of ... 01.3K00
Uncategorized NYSE Annual Compliance Guidance Memo And Amended Rules Laura Anthony, Esq.July 22, 2021 In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies. Although we are already... 01.2K00
Uncategorized New CDI On Mining Company Disclosures Laura Anthony, Esq.October 16, 2020 In the 4th quarter of 2018, the SEC finalized amendments to the disclosure requirements for mining companies under the Securities Ac... 01.1K00
Uncategorized NASDAQ And NYSE American Shareholder Approval Requirement – Equity Based Compensation Laura Anthony, Esq.May 7, 2019 May 7, 2019 Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issu... 01K00
FINRANASDAQNASDAQ Listing RequirementsNYSE MKTNYSE MKT Listing RequirementsUncategorized NASDAQ Listing Requirements Laura Anthony, Esq.April 26, 2016 September 6, 2016 068400
Uncategorized Nasdaq Updated LAS Form Laura Anthony, Esq.December 20, 2021 Effective September 17, 2021, Nasdaq updated its Listing of Additional Shares (LAS) Form and the process for the review of such form... 059000
Uncategorized Nasdaq Board Diversity Proposal Laura Anthony, Esq.July 16, 2021 July 16, 2021 Nasdaq has long been a proponent of environmental, social and governance (ESG) disclosures and initiatives, having published a guide... 052500
Uncategorized NYSE Continues To Struggle With Direct Listing Rule Changes Laura Anthony, Esq.September 18, 2020 September 18, 2020 Late last year, around the same time that the SEC approved Nasdaq rule changes related to direct listings on the... 051700