713-4.3 Pertinent standards. /Ʌ��{����]q[��ս���W��åwvQ5�u�lp���)��r�}9�������Cy�kq����~�fx{ #�^x��ׯ�奡��Ke��̻���?~~���̛�ۻ���W�ȭ�"��$4��{�m���&�͂�mC��ANo�e��F���6�������2 (a) Unless otherwise provided by the by-laws, regular meetings of the board may be held without notice if the time and place of such meetings are fixed by the by-laws or the board. Section 122 of the Company Guide outlines the Exchange’s voting rights requirements. Section 312.03(c) states that shareholder approval is required prior to the issuance of common stock, or of securities convertible into or exercisable for common stock, in any transaction or series of related transactions if: 1. the common stock has, or w… Sections 711 through 713, respectively, of the Company Guide outline the Exchange’s shareholder approval requirements in this regard. Change in Number of Warrants Outstanding (for which Securities Traded Primarily in the U.S represents 25% or More of the Value of the Underlying Index). (d) A majority of the directors present, whether or not a quorum is present, may adjourn any meeting to another time and place. Nursing homes shall comply with all pertinent requirements, technical standards and codes set forth or incorporated by reference into Part 711 of this Title, including but not limited to, Chapter 18, "New Health Care Occupancies", of NFPA 101, Life Safety Code, 2000 edition, which is described in more detail in Section 711.2(a) of this Title. All rights reserved. For more detailed codes research information, including annotations and citations, please visit Westlaw. Decides It's Finally Time to Enforce Antitrust Laws After 20-Year Hiatus. Please verify the status of the code you are researching with the state legislature or via Westlaw before relying on it for your legal needs. <>/Font<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/Annots[ 17 0 R 18 0 R 19 0 R 20 0 R 21 0 R] /MediaBox[ 0 0 612 792] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> Microsoft Edge. <>>> © Copyright 2020 Intercontinental Exchange, Inc. Begin typing to search, use arrow keys to navigate, use enter to select. The NYSE American Section 810 Corporate Governance Affirmations can be submitted electronically through Listing Manager, the NYSE’s fully integrated web application. Questions relating to the corporate governance affirmations or NYSE American corporate governance standards may be directed to +1 212 656 4542. The company submits an Additional Listing Application —signed by an officer—along with supporting documentation and exhibits to the assigned corporate compliance analyst via email. Google Chrome, Copyright © 2020, Thomson Reuters. We recommend using NYSE American approves the Additional Listing Application. company that chooses to take advantage of any or all of these exemptions must disclose that choice, that it is a controlled company and the basis for the determination in its annual proxy statement or, if the company does not file an annual proxy statement, in the company’s annual report on Form 10-K filed with the SEC. Internet Explorer 11 is no longer supported. In connection with each item to be filed with or submitted to the Exchange, please consult the referenced section number in the NYSE American Company Guide. Each of these rules necessarily interacts with the Exchanges’ rules and policies related to voting rights. 3 copies must be provided to the Exchange when distributed to shareholders (at least 20 days in advance of the shareholders' meeting), unless otherwise filed electronically with the SEC. endobj 2 0 obj Press Releases on Material Corporate Developments, Immediately. %PDF-1.5 A notice, or waiver of notice, need not specify the purpose of any regular or special meeting of the board, unless required by the by-laws. To be viewed properly, this page requires frames. Notice must be emailed promptly to, At least 10 days advance notice of the proposed filing date of the charter amendment; and immediately upon filing the charter amendment. <> Please refer to the 2.5.15 Corporate Governance: Certification Requirements for more information. At least two months, but in no event less than 20 days, in advance of the extension. The amendments to Sections 312.03 and 312.04 of the NYSE’s Listed Company Manual replace the term “market value” with “Minimum Price” and eliminate the requirement for shareholder approval of issuances at a price less than book value but greater than Minimum Price. For a NYSE American issuer to issue additional shares or effective certain other corporate changes, it must seek NYSE authorization and file an Additional Listing Application. Notice must be emailed promptly to, Material Disposition of Property or Stock, Knowledge of Actual or Proposed Deposit of Stock, At least 10 days advance notice of the proposed filing date of the charter amendment; and immediately upon filing the charter amendment. Notice should be emailed to. x��\[o�H�~���Gia�l�y�qle��Mv&10dZ�,ae�!�I��O]��n�M1�����)�/���U_]H��W�͛��ﯼ���{{u�}}�*��"~� Please allow one to two weeks to complete the approval process. We would like to show you a description here but the site won’t allow us. The forms must be saved to a local desktop drive before the work completed within the forms can be saved. Call the Market Watch Group at 877.NYX.ALRT (+1 877 699 2578 or +1 212 656 5414) and email a copy of the press release to, At least ten days in advance of record date is required. Threshold securities listed for every settlement day. Promptly (following effective date of the 1933 Act Registration Statement). At least two weeks prior to intended share issuance date. No later than 4:30 p.m. Eastern Time on the determination date of the warrants' settlement value. Notice of meetings of the board on Westlaw FindLaw Codes are provided courtesy of Thomson Reuters Westlaw, the industry-leading online legal research system . 4 0 obj Controlled companies Leadership defined by our market model, network, global visibility and services, Critical to floor operations and offering global visibility, Companies host thousands of events at the Exchange, Data and analytics to support your IR program, Forms, fees, manuals, applications and standards for our markets, The world's most trusted equities exchange, An exchange designed for growing companies, Combining the high performance of NYSE Pillar technology with a taker/maker fee schedule. If unable to make the submission through Listing Manager, as an alternative, the NYSE American Corporate Governance Affirmation provided below may be submitted via email to [email protected]. Completed Affirmations and CEO Certifications must be submitted within 30 days of your annual meeting. Read this complete New York Consolidated Laws, Business Corporation Law - BSC § 711. NYSE American Company Guide Sections 711, 712 and 713 have substantially similar provisions. Additional information about Listing Manager such as FAQs and training videos can be found here. �{(l����(G��J To be viewed properly, this page requires frames. If the by-laws so provide, notice of any adjournment of a meeting of the board to another time or place shall be given to the directors who were not present at the time of the adjournment and, unless such time and place are announced at the meeting, to the other directors. {m?Γ���c1?�3�Sy;?Mf�s9��M�y:���f��k����6�s9����3hю_�c��xR[%Ɠ�*1��V��J�'�Ub�Im�Oj��x��ٻ�@�h�6{ ��>? NYSE American Rules. Notice of meetings of the board on Westlaw, industry-leading online legal research system, Make the Most of Your Law School Reading Week, Supreme Court Will Decide Whether PTAB Judicial Appointments Are Unconstitutional, NY Federal Judge: Expecting Fathers Cannot Allege Pregnancy Discrimination Under Title VII, Justice Dept. In the event that material to be filed within or submitted to the Exchange is not also submitted to the SEC via EDGAR, issuers must submit three (3) copies of such material to the Exchange. Electronic submission of material to the SEC through EDGAR satisfies the Exchange's filing requirement. FindLaw Codes may not reflect the most recent version of the law in your jurisdiction. The below NYSE American Corporate Governance Affirmations forms are interactive. If you have questions or concerns about Listing Manager, please contact us at [email protected] or +1 212 656 4651. :4�U��9A��>��8��A�Rq��e�&n ��o���qz�Di��0~y��Y�%�W$��Ń�dd�2�� W[�5��:��/���nQ�}q����6 Special meetings of the board shall be held upon notice to the directors. Additional information about Listing Manager such as FAQs and training videos can be found here. (b) The by-laws may prescribe what shall constitute notice of meeting of the board. When determination is made to cancel the listing authority. g�n璬8���t�D�����ii*8!%b�ٸzg��d�LZ�؏É�8����Im�4Ni��qR[%���*i��VK㤶J'�U�8���A�-*U�o�S�@� stream Firefox, or NYSE American reviews and, if necessary, comments on the Additional Listing Application. To meet stockholder approval requirements (for example, Section 712 and 713 of the NYSE American Company Guide), NYSE American staff may aggregate two or more transactions when they constitute one larger transaction. 1 0 obj Notice must be emailed promptly to, Non-Compliance with Corporate Governance Listing Standards, At least 10 days advance notice of the change is required. For additional guidance, issuers may contact their assigned corporate compliance analyst. Chicago Stock Exchange has been purchased by Intercontinental Exchange, Inc. Offering traders deep liquidity across listed option contracts, Offering an anonymous, flat, open market structure, Access to live, executable, transparent prices, Notices, fees, rules, calendars, forms and order types for our markets, Announcements and market updates for our trading community, System status alerts for our market community, Current and historical regulatory halts (news pending/news dissemination and LULD, View market quality, program trading, rule 605 and other reports, Our integrated trading technology platform that connects to all of our equities and options markets, Promoting price improvement for individual investors on retail order flow for NYSE listed securities, Low-latency, real-time market data feeds cover the various asset classes and markets in the NYSE Group, Cross asset class data across markets in the NYSE Group and on the CTA and UTP nationally consolidated data feeds, Designed to improve risk management and provide insights into key company transaction activity, Summary, constituents, rebalance, and daily corporate actions data, Volumes, transactions and other market reporting, Data Pricing, Policies, Contracts & Guidelines, Required contracts, documentation, and policies which govern vendor use and distribution of NYSE market data, Specifications, post trade user guides for connectivity, Connecting the global market community to the broadest ranges of data sources, Eligible products and policies for academic use, Filings, amendments, SEC releases, extensions, and withdrawals, Interpretations, info memos, weekly and education bulletins, and rule changes. %���� �$���]� �JQ���P7� r�.��F8��8�D��Y��_��7om (:��������a�M�+�7��,a,�Gp�o�a��y���9���O�,���B�4Ǧ�^|�Џ����n�������n��n�5�е��}���{��c�z �����KѨӡ"�.^|*�DiO���!�Mk���h����O�D����ד���I�����sΚ�W�h�]�sІ����)�����wo���;4(�� ������� �5�S~�+�8�NǕb�W��U��~�P�7la$�����O�( �J��0Q�ϣD��qB����&�Ь�Q��1�(��Q�L��Q>M=>{:V��t�z��L}��`V�>­b*����w�g�{��K��� Read this complete New York Consolidated Laws, Business Corporation Law - BSC § 711. There are four basic steps in the additional listing process: Some transactions require the company to file an additional or substitution listing application, including: To meet stockholder approval requirements (for example, Section 712 and 713 of the NYSE American Company Guide), NYSE American staff may aggregate two or more transactions when they constitute one larger transaction. Issuers noncompliant with standards of delaying filing annual or interim reports, Issuers pending delisting form the Exchange, List of NYSE Group exchange disciplinary actions, List of discretionary/nondiscretionary vote determinations, 2020 NYSE American Listed Company Compliance Guidance Memo, Changes Related to the Shortened Settlement Cycle (T+2), Guidance Regarding Changes to Date of an Issuer's Earnings Release, Corporate Governance: Certification Requirements, 2.5.15 Corporate Governance: Certification Requirements, NYSE American - Initial/Annual Domestic Company Written Affirmation, NYSE American - Interim Domestic Company Written Affirmation, NYSE American - Initial/Annual Foreign Private Issuer Written Affirmation, NYSE American - Interim Foreign Private Issuer Written Affirmation, NYSE American - Initial/Annual Open and Closed-End Investment Company Written Affirmation, NYSE American - Interim Open and Closed-End Investment Company Written Affirmation, NYSE American - Initial/Annual Special Entity Written Affirmation, NYSE American - Interim Special Entity Written Affirmation, Reconciliation Sheet for Technical Original Listing, Filing Instructions (See also Part 3 of NYSE American Company Guide), ATM offering/Equity Distribution confirmation letter, Extension of the Expiration Date of Warrants.