Stock Exchange Rules : Private Causes of Action

Stock Exchange Rules

How Does Sarbanes-Oxley Affect Me Now?
Scott F. Duggan of Goodwin Procter LLP

The Sarbanes-Oxley Act of 2002 and various regulatory initiatives impose a variety of obligations and restrictions on public companies. The statutory and regulatory pronouncements include numerous dates and periods on or by which companies must act or refrain from doing certain actions.
SEC Approves NYSE And NASDAQ Rules RequiringShareholder Approval Of Equity Compensation Plans
Davis Wright Tremaine LLP

On June 30, 2003, the SEC approved newly adopted NYSE and NASDAQ listing standards that expand shareholder approval requirements for equity compensation plans, including stock option plans.
SEC Adopts Final Rules on Listing Standards for Audit Committees
Morrison & Foerster LLP

On April 1, the SEC adopted new rules directing the NYSE, Nasdaq and AMEX to prohibit the listing of any security of a company that is not in compliance with certain audit committee requirements established by the Sarbanes-Oxley Act. Public companies whose securities are listed with an SRO must be in compliance with the relevant listing standards by the earlier of their first annual meeting after January 15, 2004 or October 31, 2004.