1. FAQ's
Audit Committees
2. Articles and Publications
SEC Revises Rules for Delisting Securities Listed on a Stock Exchange from Mayer, Brown, Rowe & Maw LLP.(08/30/05)
NYSE/Nasdaq Corporate Governance Listing Standards; Comparison Chart Updated from Alston & Bird LLP. (12/13/04)
Securities Update: Amendment of NYSE Corporate Governance Listing Standards from Mayer, Brown, Rowe & Maw. (11/15/04)
NYSE Amends Corporate Governance Rules from Fried, Frank, Harris, Shriver & Jacobson LLP. (11/05/04)
Sarbanes-Oxley, SEC and NYSE Corporate Governance Rules and Proposals Summary from Bryan Cave LLP. (02/27/04)
Sarbanes-Oxley, SEC and Nasdaq Corporate Governance Rules and Proposals Summary from Bryan Cave LLP. (02/27/04)
New Obligations - 2004 Proxy Season NYSE and Nasdaq Listed Companies from Vedder, Price, Kaufman & Kammholz P. C. (02/19/04)
Revised NYSE and Nasdaq Corporate Governance Listing Standards Approved from Sullivan and Worcester (02/17/04)
A Guide to the Sarbanes-Oxley Act of 2002, and SEC, NYSE and Nasdaq Rulemaking and Proposals from Snell & Wilmer L.L.P. (01/23/04)
NYSE and Nasdaq Corporate Governance Listing Standards from Mayer, Brown, Rowe & Maw (01/15/04)
SEC Approves NYSE Corporate Governance Rules for Listed Companies from Hughes, Hubbard & Reed LLP (12/03/03)
SEC Approves Nasdaq Corporate Governance Rules for Listed Companies from Hughes, Hubbard & Reed LLP (12/03/03)
NYSE Announces Final Rules on Shareholder Approval of Equity Compensation Plans, from Wachtell Lipton (6/20/03)
Advertising Modernization: SEC Approves Amendments to NASD Rules Governing Member Communications with the Public, from Kirkpatrick & Lockhart LLP (8/1/03)
New NYSE and Nasdaq Corporate Governance Listing Standards from Covington & Burling.(11/05/03)
SEC Approves Final NYSE and NASDAQ Listing Standards from Gibson, Dunn & Crutcher LLP (11/07/03)
Nasdaq Corporate Governance Scorecard from Buchanan Ingersoll (11/10/03)
SEC Approves NYSE and NASDAQ Governance Standards for Listed Companies from Nixon Peabody LLP (11/13/03)
SEC Adopts Final NYSE Listing Standards on Corporate Governance from Hogan Hartson LLP.(11/18/03)
SEC Adopts Final Nasdaq Listing Standards on Corporate Governance from Hogan Hartson LLP (11/18/03)
Final NYSE and Nasdaq Corporate Governance Listing Standards Approved from Weil, Gotshal & Manges LLP (11/18/03)
NYSE AND NASDAQ GOVERNANCE RULES from Cleary, Gottlieb, Steen & Hamilton (11/18/03)
3. Resource Links
NYSE Information Memo: Reporting Requirements Under Rule 351(e) Relating to Rule 342.21(b) Internal Investigations. (02/17/06)
Joint Report by NASD and NYSE On the Operation and Effectiveness of the Research Analyst Conflict of Interest Rules. (01/04/06)
NYSE Information Memo: Factors Considered by NYSE Division of Enforcement in Determining Sanctions. (10/10/05)
NASD Notice to Members: SEC Approves Uniform Branch Office Definition and Related Interpretive Material - Effective Date May 1, 2006. (10/07/05)
NASD Notice to Members: SEC Approves Uniform Branch Office Registration Form (Form BR) and Conforming and Technical Changes to Forms U4 and U5 - Effective Date Oct. 31, 2005. (10/07/05)
NYSE Information Memo: Approval of Form BR - Uniform Branch Office Registration Form. (10/06/05)
NYSE Information Memo: Branch Office Definition. (10/06/05)
SEC's Final Rules Under Regulation NMS and Amendments to Joint Industry Plans. - Final Rules and Amendments. - Dissent of Commissioners Glassman and Atkins. (06/10/05)
NYSE and Archipelago Exchange Merger Agreement. - Merger Page - Webcast: WindowsMedia - Webcast: RealPlayer - Joint Press Release - Statement from NYSE CEO - Statement from Archipelago Chairman
NASD Notice to Members: Supervisory Controls - Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member's Supervisory Policies and Procedures. (04/15/05)
NYSE Information Memo: Prohibition on Research Analyst Participation in Road Shows. (05/05/05)
SEC Order Approving NYSE and NASD Rule Changes to Prohibit Participation by a Research Analyst in a Road Show Related to an Investment Banking Services Transaction and to Require Certain Communications About an Investment Banking Services Transaction to be Fair, Balanced and Not Misleading. (04/27/05)
NYSE Releases Revised FAQs on Equity Compensation Plans. (01/11/05)
SEC Proposed Rule: Fair Administration and Governance of SROs; Disclosure and Regulatory Reporting by SROs; Recordkeeping Requirements for SROs; Ownership and Voting Limitations for Members of SROs; Ownership Reporting Requirements for Members of SROs; and Listing and Trading of Affiliated Securities by SROs. (11/22/04)
SEC Concept Release Concerning Self-Regulation. (11/22/04)
AMEX's Closed-End Audit Committee Meeting Requirements. (05/28/04)
NASD Small Firm Template for Business Continuity Planning. (05/06/04)
NYSE Issues Information Memo: Rule 446 - Business Continuity and Contingency Plans. (05/05/04)
NASD and NYSE Provide Further Guidance on Rules Governing Research Analysts' Conflicts of Interest. (03/10/04)
Amex: New Corporate Governance Certification Form. (03/10/04)
NASD Issues Notice to Members Regarding SEC's Approval of Amendments to Rule 2710 (Corporate Financing Rule) and Rule 2720 (Distribution of Securities of Members and Affiliates - Conflicts of Interest). (03/01/04)
NYSE Issues Information Memo Regarding SEC Approval of Amendment to Rule 15A (ITS Trade-Throughs and Locked Markets). (02/23/04)
NYSE Issues Updated FAQs on Corporate Governance Listing Standards (02/17/04)
SEC release re: NYSE proposal for shareholder approval of option plans. (10/8/02)
Summary of Nasdaq Corporate Governance Proposal. (10/10/02)
SEC release re: Nasdaq proposal for shareholder approval of option plans. (10/11/02)
