GUIDANCE
Examination Fees
Implemention Date: January 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Examination Fees
Qualification Examinations
Registration
Schedule A to the NASD By-Laws
Executive Summary
NASD has filed for immediate effectiveness
Why are companies still able to abuse dark pools? How can there be an overwhelming amount of purchases for a stock and yet the price is going down? The abuse is absolutely clear....
I've been trying to make some extra side money in the stock market for my family for the past year of so. I started out in Robinhood but eventually switched to Fidelity for obvious reasons. What i've learned tho is that my chance at succeeding in the stock market are minimal, regardless of the amount of research i've done, or amount of personal money i've invested. The odds
INFORMATIONAL
Subordination Agreements
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Appendix D to the Net Capital Rule
Net Capital
Operations
Subordination Agreements
Subordinated Loans
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is proposing a rule requiring National Association of
SEC Approves Supplemental Inventory Schedule
(a) When and How Transactions are Reported(1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/Nasdaq Trade Reporting Facility or if the FINRA/Nasdaq Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/Nasdaq Trade Reporting Facility Operations Department,
(a) When and How Transactions are Reported(1) Transaction Reporting During Normal Market HoursMembers shall, as soon as practicable but no later than 10 seconds after execution, transmit to the ADF, or if the ADF is unavailable due to system or transmission failure, by telephone, facsimile or e-mail to FINRA Market Operations, last sale reports of transactions in ADF-eligible securities executed
Do you REALLY think the solution is to allow the members that have been engaged in blatant market manipulation against retail investors to make the judgement call on whether a retail investor is being taken advantage of and disable their ability to buy or sell a stock?!?!?!?!?!?!?!?!?!?!?!?!?!?! Do you even begin to understand how negatively this will impact retail investors when their positions
No FINRA Proposed Rule you are not protecting the retail investors if you was helping you wouldn't let the market makers, hedge fund etc do what they want manipulation in the stock market.
Should the sale of scratch tickets be regulated ? or the purchase of antiques , or coins ? Maybe the Stock market or 401k's ? I don't think restrictions on trading Crypto's is healthy for the Crypto Market or my investments in it .
