When you invest in stocks of publicly traded companies, something comes with the package—corporate actions, which may affect a company’s stock and, therefore, its shareholders. Here are six common types of corporate actions and how they might impact your investments.
FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
As part of the expansion of the OATS Rules to all NMS stocks, FINRA will electronically link OATS Route Reports to the related order in the applicable NYSE market, similar to orders routed to a NASDAQ market.
The NASD would like to thank the Subcommittee for this opportunity to testify on micro-cap fraud in the U.S. markets, the nature of the problem and our efforts to address it.
Muchas personas se ponen en contacto con la Oficina del Ombuds en relación con ardides de fraude. Algunos de estos ardides son denominados estafas de impostores en las que personas se hacen pasar por personal de FINRA para obtener información sobre cuentas u otros datos confidenciales.
For disputes involving statutory employment discrimination claims, see Rule 13802.
(a) Lists Generated in Disputes Between Members
(1) If the panel consists of one arbitrator, the list selection algorithm will generate a list of 10 non-public arbitrators from the FINRA non-public chairperson roster.
(2) If the panel consists of three non-public arbitrators, the list selection algorithm will
Use Of National Association Of Securities Dealers, Inc., Parent And Subsidiary Logos
In response to recent requests from member firms to use one of the corporate logo icons (logos) on their Web pages to indicate a link to one of the three corporate Web sites, this FYI is being issued to clarify the position of NASD Regulation, Inc. (NASD Regulation), the National Association of Securities
To the regulators: I'm extremely tired of gov't regulators who constantly interfere with every day citizens' freedom in every aspect of our lives. You, regulators and corrupt politicians in DC are so hungry of power and control over our daily lives. You constantly want to cram down rules and regulations on the everyday American citizens, and yet Congress, their congressional staff
INANE!!!
If enacted the proposed restrictions of FINRA Regulatory Notice #22-08 would reduce my ability to hedge and thereby would INCREASE the risk in my portfolio. The proposed regulation is another example of cognitive biases in the actions of regulatory agencies. In this case the main ones, among others, being the Illusion of Explanatory Depth, or IOED, and Regulatory bias.
I am certainly
I invest in Leveraged ETF Options as a strategy and occasionally in the Leveraged ETF's themselves. I have been doing this for over 15 years. I have achieved a net profit every single year since Ive started using them regardless of whether the market is up or down. I strongly believe that I should be able to choose the investments that are right for me and that all public investments
