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Cooley LLP

Texas Stock Exchange? Could Become a NYSE and Nasdaq Competitor

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My mind was sort of blown when I read this recent press release saying that the Texas Stock Exchange (TXSE) had filed this Form 1 application to register as a national securities exchange. I was tripping because the TXSE was...more

Akerman LLP

SEC Approves Changes to NYSE and Nasdaq Minimum Price Rules: What Public Companies Need to Know

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In January 2025, the Securities and Exchange Commission (the Commission) approved amendments to the minimum bid price compliance rules for companies listed on the New York Stock Exchange (NYSE) and the Nasdaq Stock Market...more

Mayer Brown Free Writings + Perspectives

NYSE Plans to Launch Texas Equities Exchange

On February 12, 2025, the New York Stock Exchange (NYSE) announced plans to launch NYSE Texas, a fully electronic equities exchange based in Dallas, Texas, through the reincorporation and renaming of NYSE Chicago.  This...more

Mayer Brown Free Writings + Perspectives

NYSE Adopts New Reverse Stock Split Rules

In January 2025, The New York Stock Exchange (NYSE) adopted an amendment (the “Amendment”) to the reverse stock split rules and procedures in Section 802.01C of the NYSE Listed Company Manual (the “NYSE Manual”).  The...more

Walkers

The Benefits of Guernsey and Jersey companies for UK and US listings

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There is a growing trend for large UK-based companies to consider exploring listings on US stock exchanges such as the New York Stock Exchange (NYSE) and NASDAQ, potentially at the expense of the London Stock Exchange plc...more

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - November 2024

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - February 2024

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

Walkers

Benefits of Jersey companies for UK & US listings

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Recent weeks and months have seen regular coverage on the growing trend of large UK based companies exploring listings on US stock exchanges such as New York Stock Exchange (NYSE) and Nasdaq at the expense of the London Stock...more

White & Case LLP

Africa's coming of age: An interview with Bryce Fort

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You have been a leading player in the private equity sector in Africa for many years now, with key roles in many notable transactions. What attracted you to African PE work? I joined Emerging Capital Partners in 2002,...more

Goodwin

SEC Charges Trust Company With Operating Unregistered Investment Companies

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SEC Charges Trust Company with Operating Unregistered Investment Companies and Failing to Register Securities Offerings. On September 30, the Securities and Exchange Commission (SEC) announced it had settled charges with...more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel - December 2019

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The NYSE proposed in November changes to its listing standards to allow “primary” share offerings through a direct listing. To date, direct listings have been in the form of stockholder share resales (a “secondary offering”)...more

Goodwin

Financial Services Weekly News: Agencies Extend Volcker Safe Harbor For Foreign Funds

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In This Issue. The Board of Governors of the Federal Reserve System (Federal Reserve), the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency (OCC) have extended for an additional...more

Perkins Coie

Blockchain Week in Review - June 2019 #4

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U.S. Developments - Regulatory Developments - CFTC Announces Two Events Designed to Encourage FinTech Innovation - On June 27, 2019, the Commodity Futures Trading Commission (“CFTC”) announced two events designed to...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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The US government is officially greenlighting fintech, with both the OCC and the Treasury Department issuing statements yesterday in support of the “emerging corner of the financial sector.” For the OCC, that means welcoming...more

A&O Shearman

Preparing for the Consolidated FINRA Registration Rules and Restructured Examination Requirements

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In October 2017, the Financial Industry Regulatory Authority (FINRA) announced, through Regulatory Notice 17-30 (the “Notice”),[1] that the U.S. Securities and Exchange Commission (SEC) approved a proposed rule change, which,...more

Goodwin

Financial Services Weekly News - March 2018 #2

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Editor's Note - Judge Rules for Defendants in Mutual Fund Excessive Fee Lawsuit. On March 9, the U.S. District Court for the Southern District of Ohio entered summary judgment for defendants in an action brought under...more

White and Williams LLP

Spotify Is Bypassing a Traditional IPO in Favor of Direct Listing. Should Other Companies Follow Its Lead?

First Spotify changed the music industry. Now it might change the way we think about public offerings. On Wednesday, February 28, 2018, Spotify filed its prospectus to go public through a direct listing on the New York...more

Goodwin

Financial Services Weekly News - January 2018 #3

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Editor's Note - “Humility and Prudence” at the CFPB. In a memo to employees of the Consumer Financial Protection Bureau (CFPB) later turned into a Wall Street Journal op-ed, Acting CFPB Director Mick Mulvaney articulated his...more

Carlton Fields

SEC Stays Approval of Quadruple-Leveraged ETF

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On May 25, 2017, the SEC stayed a May 2 order issued by the Division of Trading and Markets, acting for the SEC pursuant to delegated authority, that would have permitted the listing and trading of shares of the first...more

Goodwin

Financial Services Weekly News - May 2017 #3

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Editor's Note - The Dual Banking System is Working. In the April 26 edition of the Roundup, we noted that the Conference of State Bank Supervisors (CSBS) had sued the Office of the Comptroller of the Currency (OCC),...more

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