Regulation without Borders
- Keeping current: securities. Goodman, Amy L.; McPhee, Gillian; Ising, Elizabeth A. // Business Law Today;Nov/Dec2008, Vol. 18 Issue 2, p62
The article reports on various developments related to the U.S. securities industry. Both the New York Stock Exchange (NYSE) and NASDAQ amended their bright-line independence tests on the receipt of direct compensation from listed companies. In addition, the U.S. Securities and Exchange...
- Max & Erma's addresses Nasdaq rule violations. // Nation's Restaurant News;4/17/2006, Vol. 40 Issue 16, p24
The article reports that the Columbus, Ohio-based Max & Erma's Restaurants Inc. has been notified by Nasdaq that it twice violated the stock exchange's rules by failing to have at least three independent directors on its audit committee for two separate periods in March 2006. The company...
- Modernizing National Equity Markets? Clarke, Jonathan // Regulation;Fall2004, Vol. 27 Issue 3, p8
Comments on the plans of the U.S. Securities and Exchange Commission for the Regulation NMS that will change the regulatory environment of national equity markets in 2004. Overview of the Regulation NMS; Comparison of transaction prices on the New York Stock Exchange with the NASDAQ Stock...
- Nasdaq Market-makers May Display Two Quotes. // On Wall Street;Jan1999, Vol. 9 Issue 1, p24
Presents news briefs on the operations of the Nasdaq stock market as of January 1999. Plan of Nasdaq for a new method in making individual stock prices at the Nasdaq Stock Market more transparent; Performance of initial public offering that led the Nasdaq Stock market to discuss possible...
- Nasdaq: Maintaining Market Structure. Clary, Isabelle // Securities Industry News;12/23/2002, Vol. 14 Issue 48, p1
Reports on the dissagreement of National Association of Securities Dealers Automated Quotations (NASDAQ) to alter its market structure to transform into an exchange. Key issue for delay in exchange application of NASDAQ; Role of internalization in the success rate of NASDAQ; Comparison in...
- Nasdaq Faces Plan B as SEC Stalls. Clary, Isabelle // Securities Industry News;12/23/2002, Vol. 14 Issue 48, p4
Focuses on the concept of an 'exchange' following proposal of National Association of Securities Dealers Automated Quotations (NASDAQ) to transform itself to an exchange. Definition of an exchange; Contribution of the internalization issue of NASDAQ to delay in the registration; Reasons for...
- Nasdaq Invades the Great White North. Wexler, Sanford // Traders Magazine;Jan2001, Vol. 14 Issue 176, p27
Focuses on the plan of the Nasdaq Stock Market to launch Nasdaq Canada. Installation of Nasdaq workstations at Canadian securities firms in Montreal, Quebec; Increase in the demand for trading Canadian companies that are listed on Nasdaq; Lack of interest for the plan by sellside traders.
- Regs. // Traders Magazine;Feb2003, Vol. 16 Issue 207, p8
Reports on Nasdaq Stock Market Inc.'s request to the United States Securities and Exchange Commission to charge a larger market surveillance fee from competitors. Reason behind Nasdaq's request; Financial status of the organization.
- Region's stock exchanges harmonizing. Collins, John // Caribbean Business;1/9/1997, Vol. 25 Issue 1, p6
Reports on the coordination of stock exchanges in the Caribbean Area as a result of a consortium project led by Nasdaq Stock Market Inc. Efforts to establish a stock exchange in the Bahamas; Funding of project by Multilateral Investment Fund; Other members of the consortium.