FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, we learn how the group has grown in recent years and hear how they are evolving the way they share information.
-Naked short selling from citadel -Robinhood stop trading gme in January -citadel paying off and or own media channels to pump and dump stocks and crypto -[REDACTED]------stocks that will have identical ticker patterns The rich have no rules! Paying a fine for doing illegal activities is a joke to them. - [REDACTED] -Dark pools trading and reroute orders to make a profit and keep the
I don't know about this short sale rule. I live in Sweden and I always thought that the US is a country that treat's everyone equal. Since I bought stock on the US market the only thing I feel is that every time someone mentioned a rule I just take it whit a grain of salt because nothing happens whit the market. You can make thousand more rules but it doesn't matter because no one
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Publication Date: June 17, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-3aExhibit A - Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3 CreditsDebits 1.Free credit balances and other credit balances in customers' security accounts
It is dangerous and irresponsible to even threaten removing leveraged ETFs from investors in the middle of a market correction. LETFs provide less risk than short term options trades and meme stocks, and can be fundamental to a balanced portfolio that outperforms the market. If such ridiculous action were to take place, Id hope it would occur during a period in which the market is at all time
If I want to short a stock, or use a regular or inverse ETF, that is my choice. Americans are supposed to be equal, and have to the same opportunities that the more wealthy have. A lot of leveraged funds provide tremendous opportunities for the active investor, and do exactly what they're meant to do. I don't need to attend university or work for Goldman Sachs to have access
On November 15, 2021, the FINRA equity trade reporting facilities (the Alternative Display Facility, the FINRA/Nasdaq Trade Reporting Facilities and the FINRA/NYSE Trade Reporting Facility, through which member firms report OTC transactions in NMS stocks to FINRA1) will begin supporting timestamps up to nanosecond (HH:MM:SS.sssssssss) granularity in accordance with amendments to FINRA’s equity
When purchasing securities, you may pay for them in full or may borrow part of the purchase price from your securities firm. If you choose to borrow funds from a firm, you must open (or have) a margin account with the firm. Some brokerage firms use margin accounts as their default type of account.The portion of the purchase amount that you must deposit is called margin and is
1. Buy orders vs sell orders buy orders show more inflow and the price drops. 2. Naked shorting, synthetic shares. With amc the CEO gave good information about share holders and the amount per stock holder on average. This number does not add up with the volume of buy and sell orders. 3. It's a simple supply demand the supply is small and demand high. How can the price constantly dropping if
My name is Brian and I am a retail investor. I do not have a background in finance or economics and I do not have any SEC certifications. I have 3 trading accounts; a joint brokerage, an individual brokerage and an IRA. The combined balance of these accounts is about $300K. I am in my 40s and no longer hold my corporate job. I am self-employed and chose to invest my own retirement and cash/margin
