FINRA has delayed the launch for the expansion of summary data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website. The revised date for this information to become available will be Monday, December 2, 2019.
Beginning on December 2, 2019, FINRA will provide:
new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an
When is the SEC going to stop this fraudulent trading that millions of us see around the world. This is a global problem with the US stock market and making wallstreet a laughing stock of the US AMC and GME are being fradulent traded in fake shares it’s beyond time to fix this problem with citadel and the others in this mess...
(a) Definition of Due-Bills
The term "due-bill" as used in this Rule means an instrument employed for the purpose of evidencing the transfer of title to any security or rights pertaining to any security contracted for or evidencing the obligation of a seller to deliver such to a subsequent purchaser. A due-bill shall not be transferable or assignable by the purchaser.
(b)
A member that is a trading center in an NMS Stock shall establish, maintain and enforce written policies and procedures that are reasonably designed to comply with the requirements of the Regulation NMS Plan to Address Extraordinary Market Volatility (Plan) and specifically to prevent:
(a) the execution of trades at prices that are below the Lower Price Band or above the Upper Price Band
The naked shorting and dark pool abuse that is going on has to stop if you want to call yourself any kind of regulatory agency. It is unthinkable that you allow retail investors to be stolen from by market makers, when it is your job to protect the sanctity of the system itself. Loss of confidence of an ENTIRE GENERATION of investors will likely cripple the US economic system and it will be due
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EXECUTIVE SUMMARY
On March 1, 1991, the SEC approved an NASD proposal to amend Schedule H to the NASD By-Laws to eliminate the current reporting thresholds of $10,000 or 50,000 shares so that the reporting requirements of Schedule
I am not in favor of limiting investor choice when it comes to these types of funds, which allow investors an element of diversification with reduced committment of funds, which is especially useful given the high degree of correlation of all common stocks and bonds in the current Fed-related stock market correction. It may allow investors the ability to confiently hold core portfolios long term
regulators , I should be able to choose the public
investments that are right for my family.
Public investments should be available to all of the public,
not just the wealthy.
I enjoy playing the stock market
There should not be any test to have to take to play or invest in the market. Some people have disabilities and I believe this could also become discrimination.
Im capable of
Dear FINRA REGULATORS:
As a registered rep. for Hornblower & Weeks at 40 Wall, NYC, in 1960 and later at their uptown offices on Park Avenue at 50th, I became a devotee of Elliot Wave Theory and Edwards and Magee's Tech Stock studies. I had several times visited the packed, busy floor of the NY Stock Exchange on Broad Street, which today is virtually barren of human life.
I would like to voice my strong opinion that everyone should be allowed to choose stocks, bonds or riskier investments. I think the reason for this is partly due to many people in online discussions about stocks could eventually affect the real so called pro hedge funds that the banks fully support. Its my money to risk to lose, or profit from. Thank you, Bill Faust.
