Tag Archives: NYSE

Edward Wedbush Under Regulatory Scrutiny by NYSE Concerning Allegations of Failure to Supervise Certain Trades

On October 16, 2017, NYSE Regulation — the regulatory enforcement subsidiary of NYSE Arca, Inc. (“NYSE”) — filed a Complaint against Wedbush Securities Inc. (“Wedbush”) (CRD# 877), and its founder, Mr. Edward Wedbush.  The Complaint centers on Wedbush’s alleged systemic … Continue reading

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Recent NYSE and NYSE American Announcements

The NYSE has made a few recent announcements affecting the obligations of NYSE and NYSE American listed Canadian companies with respect to providing information to the exchange. An NYSE listed company that files its shareholder meeting materials (e.g., proxy, management … Continue reading

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My SEC-Submitted Comment to the NYSE Amex Seasoning Proposal

Yesterday I submitted a comment to the NYSE Amex's proposed "seasoning" of reverse merged companies on the over-the-counter markets. See prior posts for more details. You can find the comment (it is the only comment to the proposal and the … Continue reading

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NYSE claims trademark rights in images of NYSE in news stories

Story here. Outraged? I'm barely surprised. Read more detail on Recent Advertising Law Posts –

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Nasdaq Buying NYSE Euronext?

Wow. Today the Nasdaq (technically Nasdaq OMX) made an $11.3 billion bid to buy NYSE Euronext, hoping to outbid Deutsche Boerse's friendly offer. So what happens next? Do we allow a German outfit to own the most famous stock exchange … Continue reading

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