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Regulatory Requirements › Nasdaq › New York Stock Exchange

Fenwick & West LLP

SEC in Discussion with Exchanges to Ease Public Company Regulations

Fenwick & West LLP on

The SEC is reportedly in discussions with Nasdaq and NYSE about ways to ease the burden of becoming—and remaining—a public company....more

K&L Gates LLP

The State of Play for Reverse Stock Splits by Nasdaq- And Nyse-Listed Issuers

K&L Gates LLP on

Introduction - Issuers listed on the Nasdaq Stock Market and the New York Stock Exchange (NYSE) often conduct reverse stock splits to maintain compliance with each exchange’s US$1.00 minimum share price requirement. A reverse...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Approves Nasdaq Rule Change on Reverse Stock Splits and Minimum Bid Price Compliance Periods; NYSE Proposes a Similar Rule...

Skadden, Arps, Slate, Meagher & Flom LLP on

On October 7, 2024, the Securities and Exchange Commission (SEC) approved a rule change proposed by The Nasdaq Stock Market LLC that impacts companies utilizing reverse stock splits to regain compliance with Nasdaq’s minimum...more

Foley Hoag LLP - Public Companies & the Law

Nasdaq and NYSE Target Excessive Reverse Stock Splits Used to Regain Compliance with Minimum Security Price Requirements

Foley Hoag LLP - Public Companies & the Law on

On October 7, 2024, the US Securities and Exchange Commission approved Nasdaq's proposed modification to Nasdaq Listing Rule 5810(c)(3)(A), which limits the ability of a company whose shares are trading under Nasdaq’s $1.00...more

Dorsey & Whitney LLP

The SEC Amends Policy on Economic Projections, and Issues Final Rules and Additional Guidance for SPACs and Shell Companies

Dorsey & Whitney LLP on

The SEC on January 24, 2024 adopted final rules amending the disclosure and registration requirements applicable to special purpose acquisition companies (SPACs) and shell companies that register or file reports with the SEC....more

Goodwin

FINRA, Nasdaq, and NYSE Warn Firms of Pump-and-Dump Schemes Following IPOs of Small-Cap Issuers

Goodwin on

FINRA, Nasdaq, and NYSE published separate notices to alert their members about recent observations related to initial public offerings (IPOs) for certain small capitalization (small-cap) issuers listed on US stock exchanges...more

Skadden, Arps, Slate, Meagher & Flom LLP

2020 Compensation Committee Handbook

Skadden, Arps, Slate, Meagher & Flom LLP on

Skadden’s Executive Compensation and Benefits Group is pleased to provide you with its 2020 Compensation Committee Handbook. This edition reflects updates in applicable law and practices, including developments in director...more

Mayer Brown Free Writings + Perspectives

Equity Capital Markets in the United States: Regulatory Overview

Mayer Brown Free Writings + Perspectives on

In a recently published Practical Law Capital Markets Global Guide 2018 article, “Equity Capital Markets in the United States: Regulatory Overview,” Counsel Brian Hirshberg and Partners Anna Pinedo and Remmelt Reigersman...more

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