Securities Law
10/13/2009 4:29:41 PM EST
Securities Enforcement: Counseling and Defense
The most recent release of this treatise is current through November 2009. It contains, among other relevant updates, a fully revised Chapter 24, NASDAQ Compliance Matters. The chapter now discusses in depth significant changes to the procedures by which NASDAQ adjudicates issuers that do not satisfy all initial inclusion requirements, and are therefore denied listing, and to the procedures by which it adjudicates existing issuers that do not satisfy its “maintenance standards” and therefore become subject to suspension and delisting from NASDAQ.
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