I am losing faith each day the actions by irresponsible parties continue to be ignored. T+2 isn’t concerning until the individual demands it. My broker as with many others are left scrambling looking for my shares in a corrupt market. 21-19 would be a critical step in the right direction. Investors need clarity and clear communication on the short interest side of heavily shorted stocks. I
FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.
Minor Rule Violation Plan
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD IM-9216
NASD Rule 9216
NYSE Rule 476A
SEC Rule 19d-1(c)(2)
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Key Topic(s)Minor Rule Violation Plan (MRVP)
Executive Summary
Effective September 24, 2007, the list of violations eligible for
SummaryIn this Notice, FINRA reminds members of their obligations when selling private placements (i.e., unregistered offerings sold pursuant to the Regulation D safe harbors under Sections 3 and 4 of the Securities Act of 1933 (Securities Act)). In Regulatory Notice 10-22 (Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings), FINRA reminded members of
re: Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting To whom it may concern, the current structure and function of the American Equities Markets has, over a period of many years (& now on display for the whole world to see in the unfolding of the Meme Stock Scandal), been utilized to swindle trillions of dollars from The American
FINRA Rule 1017 requires member firms file a Continuing Membership Application (CMA) with FINRA's Membership Application Program (MAP) Group prior to implementing any material changes to the firm.
There isn’t ANY transparency within the market. Would like the same information as everyone else. Dark pools need to be monitored and used for their attended purpose of large transactions that are approved or rejected by a third party. SSR needs to be enforced much more strictly. FTDs need to be enforced without delay. Actual substantial fines for FTDs, naked short selling to discourage illegal
Hello,
I am a retail investor and I have been investing / trading for last several years. I understand the risk / reward relationship associated with leveraged ETF like TQQQ or SQQQ. I have my strict buy/sell rules that govern my trade executions and I am very confident that I can manage my account and investment actions.
Investing in leveraged ETFs is a way that an individual can use to secure
Hello,
I am a retail investor and I have been investing / trading for last several years. I understand the risk / reward relationship associated with leveraged ETF like TQQQ or SQQQ. I have my strict buy/sell rules that govern my trade executions and I am very confident that I can manage my account and investment actions.
Investing in leveraged ETFs is a way that an individual can use to secure
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
