Hello, Thank you for opening this to comment. My only comment is that I second all of the comments regarding our markets being rigged. Please listen to retail, because without us (and we’re rapidly losing faith), even Citadel won’t be able to make markets. Be on the right side of history and protect our markets from not only 100%+ short positions, but more importantly, off-exchange trading via
By Christine Kieffer, Senior Director, Office of Investor Education, FINRALast month, financial columnist Charlotte Cowles detailed how she lost $50,000 to a financial scam. Charlotte’s story is both alarming and illuminating—and very powerful. And, sadly, she is not alone.There likely are millions of scam stories like hers. Sophisticated criminal organizations steal billions of dollars every
I would like to speak for all retail investors when I say the underhanded ways corporations are given to manipulate a stock are abhorrent. A pure disregard for what an "Open market" should be. I feel the only way the playing field can be leveled is to make all information available to us, and for entities such as yourselves to police matters harder with stiffer penalties. This is the
We demand transparency with investment firms and funds surrounding the various fees that'll be charge. We need price transparency which is all information regarding a stock's price (such as its bid prices, ask prices, and trading quantities) is available to retail traders. We also Need the T-2 settlement to be reduced to under 1 day. Please give us a fighting chance in the market. ITS
There isn’t any transparency within market. FTDs need to be enforced without delay. NO more dark pools. And SSR should be enforced more strictly. market has become very main stream this year a lot of new investors because of meme stocks - so a lot of these problems are trending to the majority and if nothing changes I can see a lot more people will not trust market after this year.
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Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 15, 1996. On January 15, 1996, The Nasdaq Stock MarketSM
TO: All NASD Members and Other Interested Persons
On April 30, 1984, the Securities and Exchange Commission ("SEC" or "Commission") published for comment changes to the National Market System (NMS) designation criteria which by the National Association of Securities Dealers, Inc. ("Association" or "NASD") has proposed. If adopted, the effect of the changes
I was an advisor with a series 65. Some of my clients were knowledgeable some not. There is no doubt that FINRA has some good regulatory laws but guys this is a huge over reach. It is not your job to protect me against myself. This is play money not retirement money. Even if ten or twenty percent of my retirement money was in derivatives that is none of your business. Let the broker and or the
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Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 17, 1994. On January 17, The Nasdaq Stock MarketSM and the
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and
