Law Blog Tag: NASDAQ

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 in an amount of 20% or more of their outstanding common stock or voting power or prior to completing transactions which will result in a change of control of the company.  Nasdaq Rule 5635 sets forth 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

The U.S. Capital Markets Clearance And Settlement Process

The NASDAQ Private Market

NASDAQ To Acquire Sharepost And Create The NASDAQ Private Exchange