FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2022. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 16, 2022. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 15, 2022
(a) Definitions
(1) Member Private Offering
A "member private offering" means a private placement of unregistered securities issued by a member or a control entity.
(2) Control Entity
A "control entity" means any entity that controls or is under common control with a member, or that is controlled by a member or its associated persons.
(3) Control
The term "control
As a former Registered Representative with PaineWebber and traded successfully Inverse Commodity and Equity ETN's, one as ticker tape reader and using regression programs for trend analysis, I appreciate the opportunity within my IRA to protect the account value of cash long and short. The issue of Future contracts, Currency Swaps, and Repurchase Agreements are internal to the ETNs,
In observation of the Thanksgiving holiday, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Thursday, November 24, 2022. Please be advised that the TRFs will close early on Friday, November 25, 2022. See the tables below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any
Please do NOT restrict my ability to trade leveraged and/or inverse funds. Inverse funds, particularly, are a way for small investors to protect themselves against market declines. Most of us can't afford to short stocks or Index funds, so inverse funds are the only way to profit in a down market. Taking away that option is a terrible idea. In addition, leveraged funds are a great help for
Dear regulators. How about you do your jobs and protect the investor public by enforcing the laws concerning illegal activities being openly used by hedge fund managers to manipulate the markets to their benefit? It's outrageous that entities who profit ( in insane amounts ) are allowed to control not only fringe investing techniques, but to operate as market makers to directly benefit their
In observation of the Thanksgiving holiday, the TRACE system will be closed on Thursday, November 24, 2022. Please be advised that the TRACE system will close early on Friday, November 25, 2022. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the second quarter of 2022. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of October 14, 2022. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter October 13, 2022
Market capitalization, or market cap, is one measurement of a company's size. It is the total value of a company's outstanding shares of stock, which include publicly traded shares plus restricted shares held by company officers and insiders.
I don’t know a ton about finance or the stock market. I know less about options and derivatives (I did watch a PBS program about Brooksley Born once) and that is all I really knew on the matter. But I’m learning more every day and the more I learn the more I’m convinced that there is perhaps something rotten in the DTCC, SEC and FINRA… to name a few. It seems financial regulators refuse to do
