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Securities Regulation › Stock Exchange › Nasdaq

Cooley LLP

Texas Stock Exchange? Could Become a NYSE and Nasdaq Competitor

Cooley LLP on

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

Goodwin

SEC Rulemaking Returns After Quiet Stretch: Assessing the SEC “Reg. Flex” Agenda for BDs and Exchanges

Goodwin on

Despite the SEC’s already prolific rulemaking under Chair Gensler, the agency still has a few dozen additional rulemaking initiatives in the queue. Broker-dealers, exchanges, and other trading and markets participants can...more

Keating Muething & Klekamp PLL

SEC Extends Period to Act on Exchange Clawback Rules

Keating Muething & Klekamp PLL on

On April 24, 2023, the Securities and Exchange Commission extended the time period to take action on proposed listing standards to implement the Dodd-Frank “Clawback Rules.” As discussed in a previous blog post, the SEC...more

Mayer Brown Free Writings + Perspectives

Business Development Company Guide for Capital Markets

Mayer Brown Free Writings + Perspectives on

This guide covers all related information that a securities practitioner needs when working with a Business Development Company (BDC). It provides an overview of the industry and covers applicable securities laws and...more

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