When thinking about investing, one consideration is whether to invest funds all at once or over a period of time. If you choose the latter route, you might be opting for an investment strategy called dollar-cost averaging, in which you invest your money in equal portions, at regular intervals, regardless of the ups and downs in the market.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6120 (Trading Halts) to conform to recent amendments to the NMS plans governing the collection, consolidation and dissemination of quotation and transaction information for NMS stocks and to make technical and clarifying
There are many ways you can slice a pie and reasons why you might want to serve larger or smaller pieces, but if you go too big, the size of a piece can become overwhelming. Sometimes, the same could be said of stocks.When a stock price gets high, sometimes a public company will want to lower that price and can do that with a stock split.A stock split is a decision by a company’s board to
In a pump-and-dump scheme, fraudsters accumulate stock, spread positive—but false—information to “pump” up the price, then eventually “dump” their shares, often causing unsuspecting investors to lose money when the stock price then sharply declines. Learn how to recognize and protect yourself against pump-and-dump schemes.
Momentum investing is a trading strategy that involves trading stocks that are moving rapidly and then exiting positions before the prices begin to move in the opposite direction. But stock prices can quickly shift, so trying to figure out when a stock is nearing its peak—or trough—is challenging.
Investment accounts are those that hold stocks, bonds, funds and other securities, as well as cash. A key difference between an investment account and a bank account is that the value of assets in an investment account fluctuates and can, in fact, decline.
When you enter an order to buy or sell a stock, your registered financial professional must decide where to route your order. The most familiar type of execution venue is a traditional exchange. However, other execution venues, including alternative trading systems, single-dealer platforms and wholesalers, have risen in popularity in recent years.
(a) Stock certificates delivered in settlement of contracts:
(1) in which the transaction is for 100 shares may be in one certificate for the exact number of shares or certificates totaling 100 shares.
(2) in which the transaction is greater than 100 shares and a multiple of 100 shall be in the exact amount of the contract, or in multiples of 100 shares, or in amounts from which units of 100
On November 12, 2010, the SEC approved FINRA’s proposed rule change SR-FINRA-2010-044 to expand the OATS Rules to all NMS stocks. The changes will be effective 180 days after publication of the Regulatory Notice and related OATS Reporting Technical Specifications. For more information, please review the SEC's Approval Order.
Summary
FINRA Rule 4210 (Margin Requirements) prescribes requirements governing the extension of credit by members. The FINRA Rule 4210 interpretations provide further guidance regarding application of the rule. This Notice announces, effective immediately, clarifications of interpretations of (1) FINRA Rule 4210(e)(8), which specifies margin requirements for control and restricted securities,
