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Corporate Governance

NYSE, Nasdaq and FINRA

Unless noted, all documents are in PDF format.

A C D F L M N P S T W

A

Aslin v. Financial Industry Regulatory Authority, Inc (7th Cir. Jan 2, 2013)

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C

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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F

Fiero v. FINRA, 09-1556-cv(L) (2nd Cir. Oct. 5, 2011)

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

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L

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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M

Mathis v. SEC, 10-429 (2nd Cir. Feb. 14, 2012)

Mkt. St. Sec., Inc. v. NASDAQ OMX PHLX LLC, CIV.A. 12-1304, (E.D. Pa. Oct. 17, 2012)

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N

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

New York Stock Exchange LLC, and NYSE Euronext, In the Matter of

Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, Exchange Act Release No.34-68037 (Oct. 11, 2012).

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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P

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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S

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

Std. Inv. Chtd., Inc. v. NASD, No. 07 Civ 2014 (JSR) and Benchmark Fin. Serv., v. FINRA, No. 08 Civ 11193 (JSR) (S.D.N.Y. Mar. 1, 2010)

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T

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

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W

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

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