I partially trade with a US broker in order to have more access and freedom in my choice of investment vehicles. Making 'complex' funds only freely accessible to the elite and exorbitantly rich (like in the EU), whilst creating more and more hoops for regular people, will only limit opportunities for regular smaller investors. I should have the freedom to do with my own money as I wish
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TO: All NASD Members and Other Interested Persons
On April 30, 1984, the Securities and Exchange Commission ("SEC" or "Commission") published for comment changes to the National Market System (NMS) designation criteria which by the National Association of Securities Dealers, Inc. ("Association" or "NASD") has proposed. If adopted, the effect of the changes
FINRA has updated the Alternative Display Facility (ADF) User Guide and ADF FIX Specification for Trade Reporting to now include the FINRA/Nasdaq TRF Chicago, IEX (Investors Exchange) and LTSE (Long-Term Stock Exchange).
Each document’s Revision History illustrates these changes and impacted fields.
Questions regarding this notice should be sent to FINRA Product Management or
TRF Exchange Participants
FINRA is committed to ensuring that all respondents are treated fairly in the disciplinary process. Below, you will find brief answers to a number of questions frequently asked by respondents. We hope these answers will be helpful in orienting you to the disciplinary process.
FINRA's disciplinary proceedings are governed by the FINRA Code of Procedure (the Code). You should consult the Code
I support the proposed changes. In addition i believe that there are several levels of self-dealing, impropriety, negligence and perhaps outright fraud-by-omission, happening at the SEC itself, which routinely harms retail investors as a class. My suspicions were raised by commentary around 'meme stocks' and comments by various industry professionals in publicly available materials. I
As a retail investor I am very hesitant to invest anymore money into stocks when I'm seeing this blatant manipulation of the market by market makers and hedge funds. I feel like they're not going to act in good faith when doing so doesn't benefit them as much. We as investors need to see more than just fines imposed and some real solid action on combatting this behavior for a fair
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Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday
