I have been investing for over 30 years. I have a passion for studying the markets and paying attention to the economy and market cycles. Over 30 years I have personally experienced the best bull markets and bear markets of the past 75 years. If there is one thing I have learned, there is NO reason to be bullish (long the stock market) 100% of the time, and there is No reason to be bearish 100
On This PagePortfolio Margin DataFiling ScheduleHow to Access the File Upload FunctionBefore Uploading a File for the First TimeHow to Upload a FilePortfolio Margin Exam DataPortfolio Margin DataFINRA requires that all Portfolio Margin (PM) member firms submit their PM data via a file upload (fileX Upload).For more information on the expanded data requirements, please download version 2.0 of the
The law is not truly being enforced as those still blatantly and destructively manipulating the market get away with it every single day, to the point where retail investors can correctly predict how a stock will be manipulated in the open market. These people need and deserve to be in prison for committing these despicable acts at the cost of those without mass money and power. The people that
FINRA Rule 2165 (Financial Exploitation of Specified Adults) is the first uniform national standard for placing temporary holds to address suspected financial exploitation. Rule 2165 permits a member to place a temporary hold on a securities transaction or disbursement of funds or securities from the account of a Specified Adult customer when the firm reasonably believes that financial exploitation of that adult has occurred, is occurring, has been attempted or will be attempted. FINRA Rule 4512 (Customer Account Information) requires members to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer’s account.
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6100.
Important Year 2000 Information
Based on milestones published by the Securities Industry Association (SIA), securities firms at this time should have a comprehensive Year 2000 program plan in place and be actively certifying third-party products and service providers for Year 2000 readiness. Firms also need to begin completing the repairs to any of their internal applications and testing these
TO: All NASD Members
The New York Regional Office of the Securities and Exchange Commission has asked the NASD to provide members with a notice regarding the activities of Gerald Greenspan outlined below.
Mr. Greenspan was permanently enjoined by the United States District Court (S.D.N.Y.) from further violations of the federal securities laws in 1960, 1975 and 1980. The 1980 injunction requires
(a) Authority to Initiate Halts In Trading Otherwise Than on an Exchange in NMS Stocks and Facility ClosuresFINRA, pursuant to the procedures set forth in paragraph (b):(1) shall halt trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b) of SEC Regulation NMS, whenever a Primary Listing Market declares a Regulatory Halt in the security.(2) shall halt trading otherwise
On December 5, 2022, FINRA will re- platform the OTC Reporting Facility (ORF) to a new Linux-based operating system. This will include Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced.
A TDDS parallel production test period will run from Monday, November 7, 2022, through Friday, December 2, 2022. During this period both TDDS 2.0 multicast and TDDS 2.1
The Reg NMS Trade Through Report Card is a monthly statistical report detailing the transactions in NMS Securities that appear to have been reported by your firm to a Trade Reporting Facility ("TRF") or to FINRA's Alternative Display Facility at a price that traded through at least one protected best bid or offer at the respective time of execution. If non-compliance with the Order
