Home » Corporate Governance

In This Section

• Corporate Governance
• Academic Materials
• Articles and Papers
• Churchill v. U of CO
• Corporate Governance and Bankruptcy
• Corporate Governance and Disclosure
• Criminal Cases
• Empirical Studies
• FEF v. PCAOB
• Governance Cases
• Independent Director
• International Corporate Governance
• Legislation
• NYSE, Nasdaq and FINRA
  • Fog Cutter Capital v. SEC
  • Scher v. NASD
  • Weissman v. NASD
• Qwest and Nacchio Documents
• Sarbanes-Oxley
• SEC and Governance
• Securities Matters
• Takeovers and Proxy Fights

NYSE, Nasdaq and FINRA

Unless noted, all documents are in PDF format.

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Change to the NASDAQ Definition of Independence, Exchange Act Release No. 34-58335 »

Change to the NYSE Definition of Independence, Release No. 34-58367 »

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D

Delegation Agreement, N.Y.S.E. LLC, NYSE Reg. Inc., & NYSE Mkt. (Jan. 6, 2006). »

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Fog Cutter Capital v. SEC, 474 F.3d 822 (D.C. Cir. 2007). »

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Letter from Prof. Jay Robert Brown Jr., on NYSE-Euro Merger (Feb. 13, 2007)(on file with author). »

Letter from Prof. Mary Yeager, Secretary of NYSE LLC, to Prof. Jay Robert Brown Jr., (Feb. 14, 2006). »

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Nasdaq Proxy Statement, Exchange Act of 1934 (April 20, 2007). »

NYSE Regulation Inc., Regulation, Enforcement, and Listing Standards Comm. Charter, adopted April 7, 2005. »

NYSE Regulation, Inc., Regulatory Oversight Comm. Charter, adopted April 7, 2005. »

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Petition for Cert. at 4, Cal. Pub. Emp. Ret. Sys. v. NYSE Inc., No. 07-946 (Jan. 16, 2008). »

Proposed Independent Policy: NYSE-Euronext, Release No. 55026 (Dec. 29, 2006). »

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Scher v. NASD, 2007 WL 631687 (2nd Cir. 2007). »

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Testimony of John A. Thain: Hearing Before the Committee on Banking, Housing & Urban Affairs, 109th Cong. (2006). »

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Weissman v. NASD, 468 F.3d 1306 (11th Cir. 2006). »

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