New York Stock Exchange - Securities l Corporate l Business Law

2018 Regulation A+ Q&A

Since Regulation A+ was adopted in 2015, it has gained notable market acceptance.  Regulation A+  provides an  offering that can be used in combination with direct public offerings and initial public offerings as part of a Going Public Transaction allowing the issuer to avoid the… Read More

Regulation A+ and Secondary Trading 2018

The Securities & Exchange Commission’s amendments to Regulation A known as Regulation A+ went into effect on June 19, 2015.  Regulation A+ has gained market acceptance not only by issuers quoted on the OTC Markets but also by the… Read More

Foreign Private Issuers NYSE Audit Committee Requirements

The New York Stock Exchange (NYSE) corporate governance standards are contained in Section 303A of the NYSE Listed Company Manual. The NYSE corporate governance standards apply to all US companies that are listing or have listed equity securities… Read More

Foreign Private Issuer NYSE Audit Committee Requirements

The New York Stock Exchange (NYSE) corporate governance standards are contained in Section 303A of the NYSE Listed Company Manual. The NYSE corporate governance standards apply to all US companies that are listing or have listed equity securities… Read More

Regulation A+ White Paper – Regulation A+ Lawyers

Overview of the Regulation A+ Exemption On March 25, 2015, The Securities and Exchange Commission (the “SEC”) adopted final rules to implement Section 401 of the Jumpstart Our Business Startups (JOBS) Act by expanding Regulation A into two… Read More

What is a NYSE Control Company Anyway? NYSE Attorneys

Public Companies that qualify as a “Controlled Company” with securities listed on the Nasdaq Stock Market (NASDAQ) or the New York Stock Exchange (NYSE), must comply with the exchange’s continued listing standards to maintain their listings. Nasdaq and the NYSE have adopted… Read More

What is a NYSE Designated Market Maker? Posted by Brenda Hamilton

One of the most important decisions for a company going public is to choose the right market for listing the company’s shares. This is true for initial public and direct public offerings. The New York Stock Exchange (“NYSE”)… Read More

NYSE Amends Rules For The Release of Material News

  Halts Before Open Under the amended NYSE Listed Company Manual, between 7:00 a.m. and the opening of trading, the NYSE can implement a regulatory halt if (i) the listed company has informed the NYSE staff that it intends… Read More