United States: Listing Rules & Flotation

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Finance law and banking law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics such as capital adequacy, BASEL, acquisition finance, debt capital markets, fund finance, islamic finance, securitization and structured finance.

SEC Approves TXSE As National Securities Exchange

On September 30, 2025, Texas Group Inc. ("TXSE Group") announced that it has received formal approval of its Form 1 Registration Statement from the U.S. Securities and Exchange Commission...

United States Finance

JD

Jones Day

Ambush At The AGM – Notice Requirements For Listed Companies In The Digital Age

With a significant proportion of companies listed on the Hong Kong Stock Exchange incorporated in the Cayman Islands and approximately 223 Cayman-incorporated...

United States Commercial

BP

Baker & Partners

Considering A U.S. Listing? What Asian Issuers Should Know

During the first four months of 2025, at least eight companies listed on the Singapore Exchange (SGX) announced potential delisting and at least 11 SGX-listed companies...

Worldwide Commercial

LL

Loeb & Loeb LLP

London Stock Exchange Discussion Paper – Shaping The Future Of AIM

The ‘Jewel in the Crown' of London's markets, AIM has been a central feature of UK capital markets for the last 30 years providing growing companies...

United States Commercial

BC

Bryan Cave Leighton Paisner

Nasdaq And NYSE Target Excessive Reverse Stock Splits Used To Regain Compliance With Minimum Security Price Requirements

United States Commercial

FH

Foley Hoag LLP

2024-2025 Developments Regarding NYSE And Nasdaq Listing Rules

United States Commercial

CG

Cahill Gordon & Reindel LLP

Nasdaq Listing Fee Changes

United States Finance

GP

Goodwin Procter LLP

EU Listing Act Podcasts

United States Finance

AO

A&O Shearman

Approval Of The Listing Act: Welcome Changes For Issuers Of Debt Securities

United States Finance

JD

Jones Day

HKEx's Enhanced Climate Disclosure Requirements

United States Finance

SS

Seyfarth Shaw LLP

UK Listing Rules Reforms

United States Finance

AG

Akin Gump Strauss Hauer & Feld LLP

Switching To Or Adding A U.S. Listing - Factors To Consider For London-Listed Companies

Worldwide Commercial

WS

Winston & Strawn LLP

At The Intersection Of 'S' And 'G' Of ESG: London Leading The Way On Board Diversity — An Update On Latest FTSE Women Leaders Review And Parker Review Reports

United States Commercial

GP

Goodwin Procter LLP

Fifth Circuit Grants Petition For Rehearing En Banc For Nasdaq Board Diversity Rule

United States Commercial

CL

Cooley LLP

What Honeybees Have Taught Me About Dispute Resolution

United States Litigation

J

JAMS

U.S. Immigration Updates – October 2025

Worldwide Immigration

K

Klasko

Unpacking A Busy Last Week For US ESG Disclosure And Compliance

United States Commercial

RG

Ropes & Gray LLP

Resolving Construction Conflicts Efficiently: A Guided Mediation Approach

United States Litigation

J

JAMS

California Privacy Violations Result In $1.35 Million Fine!

United States Privacy

KM

Klein Moynihan Turco LLP

"Computed Without Regard To Taxes Paid": The Individual Tax Consequences Of Compensation Clawbacks

Compensation clawbacks can raise difficult, and often adverse, tax issues for employees and other service providers. Specifically, for clawbacks that are effected on a gross...

United States Tax

W

WilmerHale

December 1 Deadline Nears For Adoption Of Clawback Policies

Companies that are listed on the Nasdaq Stock Market or the New York Stock Exchange are required to adopt a clawback policy that provides for the recovery from any current or former...

United States Accounting

VL

Venable LLP

SEC Approves Nasdaq Rule Change Regarding Reverse Stock Splits

In August, the SEC posted a proposed Nasdaq rule change that would establish listing standards related to notification and disclosure of reverse stock splits.

United States Finance

CL

Cooley LLP

Nasdaq Proposes To Amend Listing Rules Regarding Waivers Of Code Of Conduct

Yesterday, the SEC posted, and declared immediately effective, a Nasdaq rule proposal that would modify the requirements related to waiver of the code of conduct in Listing Rules 5610 and IM-5610.

United States Finance

CL

Cooley LLP

Nasdaq Proposes Listing Rule Changes Related To Reverse Stock Splits

United States Finance

CL

Cooley LLP

No More Class Meetings For Hong Kong Listed PRC Issuers In Repurchasing Or Issuing Shares

United States Finance

MB

Mayer Brown

SEC Approves NYSE And Nasdaq Clawback Rules – Issuers Must Comply By December 1, 2023

United States Commercial

L

Linklaters

Private Equity Listings On The International Stock Exchange

Worldwide Finance

O

Ogier

MB Microtalk: Changes To Direct Listing Rules

United States Finance

MB

Mayer Brown

Independent Expert Reports For Transactions & Restructurings

United States Insolvency

FC

FTI Consulting

FINRA, NASDAQ, And NYSE Warn Firms Of Pump-And-Dump Schemes Following IPOs Of Small-Cap Issuers

United States Commercial

GP

Goodwin Procter LLP

SEC Request For Comment On "Information Providers"

United States Commercial

MB

Mayer Brown

Southern District Of New York Dismisses With Prejudice Securities Act Claims For Failure To Allege Actionable Misstatement Or Omission

United States Commercial

AO

A&O Shearman

Direct Listings: Experiment Or New Paradigm? (Video)

United States Finance

MB

Mayer Brown

FINRA, NASDAQ, And NYSE Warn Firms Of Pump-And-Dump Schemes Following IPOs Of Small-Cap Issuers

FINRA, Nasdaq, and NYSE published separate notices to alert their members about recent observations related to initial public offerings (IPOs) for certain small capitalization (small-cap)...

United States Commercial

GP

Goodwin Procter LLP

SEC Request For Comment On "Information Providers"

On June 15, 2022, the Securities and Exchange Commission (the "SEC") issued a request for comment to "help determine which ‘information providers,' such as index providers...

United States Commercial

MB

Mayer Brown

Southern District Of New York Dismisses With Prejudice Securities Act Claims For Failure To Allege Actionable Misstatement Or Omission

On April 25, 2022, U.S. District Judge Jesse M. Furman dismissed a putative securities class action alleging that a fintech company (the "Company") misrepresented its internal control weaknesses and financial results in its prospectus and registration statement.

United States Commercial

AO

A&O Shearman

Direct Listings: Experiment Or New Paradigm? (Video)

Due to market structure and regulatory changes, traditional capital-raising path for entrepreneurial companies has evolved. For companies in certain sectors, the firm commitment IPO may no longer be the goal.

United States Finance

MB

Mayer Brown

SEC Solicits Comment On Nasdaq-Amended Proposal On Direct Listings Of Primary Offerings

United States Commercial

CW

Cadwalader, Wickersham & Taft LLP

A Little More On The Nasdaq Board Diversity Rule

On Friday, the SEC approved Nasdaq's proposal for new listing rules regarding board diversity and disclosure, along with a proposal to provide free access to a board recruiting service.

United States Commercial

CL

Cooley LLP

NYSE Revises Related Party Transaction Approval Rule

Companies listed on the New York Stock Exchange should review their policies on related party transactions and related processes to confirm they are consistent with recent revisions to the applicable NYSE rules.

United States Finance

BC

Bryan Cave Leighton Paisner

Latest Twists In Long And Winding Road To Board Diversity Disclosure

The House Committee on Financial Services met virtually on April 20, 2021 to consider legislation that, among other things

United States Commercial

BC

Bryan Cave Leighton Paisner

SEC Staff Comments On SPACs

Today, the Staff of the Securities and Exchange Commission issued two statements relating to special purpose acquisition companies (SPACs).

United States Commercial

MB

Mayer Brown

What's Happening With The Nasdaq Board Diversity Proposal?

United States Commercial

CL

Cooley LLP

COMSovereign Announces $16 Million IPO And NASDAQ Listing

United States Finance

PC

Pryor Cashman LLP

Nasdaq Amends Its Direct Listing Proposal

United States Finance

MB

Mayer Brown

Upcoming Event: 2020 TechGC SPAC Forum

United States Commercial

CL

Cooley LLP

MB Microtalk: Nasdaq's Rule Proposal For Board Diversity And Disclosure Requirements

United States Finance

MB

Mayer Brown

MB Microtalk: Nasdaq's Rule Proposal For Board Diversity And Disclosure Requirements (Video)

United States Finance

MB

Mayer Brown

Nasdaq Announces Diversity Requirements

United States Employment

KR

Kane Russell Coleman Logan

Nasdaq Proposes Board Diversity Listing Rules

United States Finance

AO

A&O Shearman

Nasdaq Proposes New Listing Rules Regarding Board Diversity

United States Finance

M

Mintz

中国股权资本市场的兴起

United States Finance

AG

Akin Gump Strauss Hauer & Feld LLP

What Companies Should Know About Direct Listings

United States Commercial

FL

Foley & Lardner

Issuers Permitted To Raise Capital In Direct Listings

United States Commercial

MB

Mayer Brown

SEC Approves NYSE Proposal To Permit Direct Listings Through Primary Offerings; Nasdaq Proposes To Follow Suit

United States Commercial

AP

Arnold & Porter

NYSE Amends Proposal To Allow Issuers To Raise Capital In Direct Listings

United States Finance

MB

Mayer Brown

Nasdaq Proposes To Adopt And Amend Rules Applicable To Companies Operating In Restrictive Markets

United States Commercial

CG

Cahill Gordon & Reindel LLP

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Latest Videos

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Direct Listings: Experiment Or New Paradigm? (Video)

MB

Mayer Brown

MB Microtalk: Nasdaq's Rule Proposal For Board Diversity And Disclosure Requirements (Video)

MB

Mayer Brown

The JOBS Act: Confidential Filing (Video Content)

F

Fenwick

Form 10s As Alternatives To Traditional IPOs – Bill Hicks, Member (Video Content)

M

Mintz

Potential For REIT IPOs Limited, Menna Says (Video Content)

GP

Goodwin Procter LLP

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