Category: NYSE

A Transfer Agent’s Role in an IPO
  • Admin
  • Dec 02, 2021
Are you planning on taking your company public? If so, there are several steps you need to follow during your initial public offering. You might also be wondering if you need to hire a transfer agent.....
Covid-19 Relief Provided by NYSE, NASDAQ, OTC Markets
  • Admin
  • May 27, 2020
Recently, due to COVID-19, exchange listed companies have been struggling to comply with rules set forth for timely administration of annual shareholder meetings and SEC filings. Considering these sit....
Up-listing from an OTC to a National Exchange
  • Joshua Scofield
  • Oct 15, 2019
Listing on NASDAQ or NYSE can be a ticket to new growth for many companies. However, it is difficult to meet the listing requirements for such large national exchanges. Many businesses find that they ....
STA Rebutes NYSE Proposal on Proxy Fee Increases
  • Admin
  • Mar 01, 2013
The Securities Transfer Association (STA) has commented on the broker fee increase proposal submitted by the NYSE PFAC committee and has disagreed on several points. With an 18-month effort by NYSE PF....
NYSE Proposal Endorses Proxy Fee Increase
  • Admin
  • Feb 07, 2013
The NYSE proposes a beneficial holder proxy fee increase to be charged to issuers by brokers (Broadridge). These proposals result in several fee increases that affect both large and small issuers. Her....