by David Schwartz J.D. CPA | Feb 13, 2012 | All, Formal Regulatory Remedies
Nasdaq has proposed new rules for the the qualification, listing, trading, and delisting of a broad list of structured notes and other related products. Although the present NASDAQ Rule 5710 includes initial listing standards for equity index-linked securities and...
by David Schwartz J.D. CPA | Jan 27, 2012 | All, Formal Regulatory Remedies
Citing “recent congressional and public policy trends disfavoring broker voting of uninstructed shares,” the NYSE has severely limited broker discretionary voting of uninstructed shares with regard to corporate governance proposals. Effective January 25, 2012,...
