(a) If an arbitrator is removed, or becomes otherwise unable or unwilling to serve, the Director will appoint a replacement arbitrator in accordance with this rule, unless the parties agree in writing to proceed with only the remaining arbitrators.(b) The Director will appoint as a replacement arbitrator the arbitrator who is the most highly ranked available arbitrator of the required
Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4)
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REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is requesting comment on a proposed amendment to the Board of Governors' Interpretation on Prompt Receipt and Delivery of
To impose Rule #22-08 would be completely un-American. Investors, other than holding government positions, should be able to invest in any stock, from penny stock to unlimited. This is another unfair, power grab law. Setting the powerful Uber rich above everyone else. This is wrong.
This is not the first time that regulators have attempted to regulate Leveraged ETFs.
For some reason, we only see these actions at times when the markets have increased volitility. When times are good and the leveraged long ETFs are soaring, there is no scrutiny. Only when the leveraged short ETFs can provide value to investors do we see the risk of regulation or curtailing.
I consider a
The naked shorting and dark pool abuse that is going on has to stop if you want to call yourself any kind of regulatory agency. It is unthinkable that you allow retail investors to be stolen from by market makers, when it is your job to protect the sanctity of the system itself. Loss of confidence of an ENTIRE GENERATION of investors will likely cripple the US economic system and it will be due
I was made aware that FINRA is seeking to put restrictions on L&I investments to "protect" investors. I'd like to offer up my experience as an example of why this is not needed. Details are below but I'd like to emphasize first:
I can make my own decisions about investments and do my own research. I don't need to prove to anyone that I
I want a more transparent market for retail investors. Live accurate data that isn't 2-30 days delayed and partially reported. It is a distinct disadvantage that retail has when it only gets part of the picture. I also would like to see more regulations and stiffer penalties on naked short selling. The fines that are handed out for FTDs and naked short selling are a drop in the bucket to
I want a more transparent market for retail investors. Live accurate data that isn't 2-30 days delayed and partially reported. It is a distinct disadvantage that retail has when it only gets part of the picture. I also would like to see more regulations and stiffer penalties on naked short selling. The fines that are handed out for FTDs and naked short selling are a drop in the bucket to
Rule 1. All short sale shall be reported to finra by end of each settlement day. Rule 2. Finra shall make public report the day to day short sale by end of settlement day or the trading week. Rule 3. All unused loaned shares shall be reported to finra by end of settlement day. Rule 4. Finra shall make public the outstanding unused loaned share by end of settlement day of a trading week. Rule 5.
