NYSE, Nasdaq and FINRA
Unless noted, all documents are in PDF format.
| A | C | D | F | L | M | N | P | R | S | T | U | W |
A
Aslin v. Financial Industry Regulatory Authority, Inc (7th Cir. Jan 2, 2013)
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 »
Complaint, City of Providence v. BATS Global Markets, 1:14-cv-02811-JMF, SD NY, Sept. 2, 2014
D
Delegation Agreement, N.Y.S.E. LLC, NYSE Reg. Inc., & NYSE Mkt. (Jan. 6, 2006). »
Doscher vs. Sea Port Grp. Sec., LLC, No. 15-2814, 2016 BL 259540 (2d Cir. Aug. 11, 2016).
F
Facebook, Inc. IPO Securities Litigation, In re, MDL No. 12-2389, SD NY
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). »
L
Lanier v. BATS Exch., Inc., No. 15-1683 (2nd Cir. September 23, 2016) (Opinion)
Letter from Prof. Jay Robert Brown Jr., on NYSE-Euro Merger (Feb. 13, 2007)(on file with author). »
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)
N
Nasdaq OMX Grp. Inc. v. UBS Sec., LLC, No. 13-2657-cv (2d. Cir. Oct. 31, 2014).
Nasdaq Proxy Statement, Exchange Act of 1934 (April 20, 2007). »
New York Stock Exchange LLC, and NYSE Euronext, In the Matter of
NYSE Regulation, Inc., Regulatory Oversight Comm. Charter, adopted April 7, 2005. »
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). »
R
S
Scher v. NASD, 2007 WL 631687 (2nd Cir. 2007). »
T
U