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... 01.2K00
Classes of StockExchange Traded Funds (ETFs)IPOPublic CompanySECSEC Investor Alert Multiple Classes of Stock and the Public Company Laura Anthony, Esq.May 29, 2018 May 29, 2018 In March 2017, Snap Inc. completed its IPO, selling only non-voting Class A common shares to the investing public and beginning an o... 048700
Depository Trust Company (DTC)DTC ChillDTC EligibilityDTC Global LocksNASDAQNYSE MKTRegulation SHOSECThe FAST ActUncategorized The U.S. Capital Markets Clearance And Settlement Process Laura Anthony, Esq.April 19, 2016 079800
NYSE MKTSECSecurities AttorneySmall Cap MarketUncategorized The Materiality Standard; NYSE Amends Rules; FASB Proposed Guidance Laura Anthony, Esq.November 3, 2015 024800