All Nasdaq articles
-
News BriefU.S. Appeals Court overturns Nasdaq board diversity rule
A U.S. Appeals Court overturned a Securities and Exchange Commission rule that had required companies listed on the Nasdaq stock exchange to disclose whether their boards had women or minority members–and if not, why not.
-
News BriefNasdaq unit reaches $22M settlement with CFTC over supervision failures
The Commodity Futures Trading Commission fined a Nasdaq subsidiary $22 million over allegedly misleading the public, regulators, and its own compliance staff about the details of a trader incentive program.
-
PremiumAML pros say tech, not hiring, will keep them ahead of financial crime
A survey of financial crime professionals found that while three of every four companies added more anti-money laundering employees in 2023, nearly all respondents said growing their department’s headcount alone won’t keep up with emerging risks.
-
News BriefOFAC: Nasdaq to pay $4M over ex-subsidiary’s Iran sanctions lapses
Nasdaq agreed to pay more than $4 million as part of a settlement with the Office of Foreign Assets Control addressing apparent Iran sanctions violations at the stock exchange operator’s former Armenian subsidiary.
-
ArticleChinese companies facing HFCAA delisting seeking alternatives
Chinese businesses identified as noncompliant with the Holding Foreign Companies Accountable Act are trying a variety of strategies to circumvent or comply with the law before they are delisted from U.S. exchanges.
-
ArticleCalifornia judge strikes down state’s board diversity law
A California state superior court judge struck down a diversity mandate that ordered public companies in the state to have at least one minority board member by the end of 2021.
-
ArticleSEC approval of Nasdaq board diversity proposal adds to nationwide momentum
The SEC approved rule changes proposed by Nasdaq that will put in place a new board diversity mandate and further require companies listed on Nasdaq’s U.S. exchange to make public disclosures regarding the composition of their boards.
-
ArticleCCOs, take note: ESG is having its moment
The Biden administration is not so quietly making big moves in the area of ESG regulatory initiatives that should give CCOs the cachet to elevate these issues closer to the top of the priority list at their organizations.
-
VideoVideo: Praise for Nasdaq diversity push; Vodafone’s GDPR woes prove costly
In our inaugural video edition of Nailed It or Failed It, Dave Lefort praises Nasdaq’s efforts to get the SEC to require board diversity disclosures, while Kyle Brasseur critiques Vodafone’s numerous run-ins with the GDPR.
-
ArticleAnalysis: Luckin Coffee saga a case of déjà vu?
Financial crime expert Martin Woods ponders how the SEC can ensure foreign companies, like China-based Luckin Coffee, that publicly trade in the U.S. can apply the proper standards of compliance, financial reporting, and even whistleblower protections.
-
Article
Nasdaq names chief risk officer
American stock exchange Nasdaq announced Roland Chai will join the executive leadership team as chief risk officer.
-
ArticleMore companies pointing finger at proxy advisory firms
A new survey from the U.S. Chamber of Commerce and Nasdaq says the number of companies identifying conflicts of interest at proxy advisory firms has almost doubled.
-
Article
Nasdaq has a new chief legal officer
Nasdaq has named John Zecca as executive vice president and chief legal officer, responsible for managing Nasdaq’s regulatory oversight, legal counsel, and compliance across the company’s global businesses.
-
Blog
SAI Global to acquire BWise from Nasdaq
Risk management and compliance learning provider SAI Global announced it has entered into an agreement with Nasdaq to acquire software provider BWise.
-
Blog
CII petitions exchanges over dual-class shares
The Council of Institutional Investors has filed petitions with the New York Stock Exchange and Nasdaq asking them to limit listings of companies with dual-class share structures.