The Contra Executing Firm 20 Minute Compliance report card is a monthly status report that provides information on transactions in which a firm failed, as the Contra Firm to accept / decline / compare trades within 20 minutes after execution, in apparent violation of FINRA Rules 7230A(b) and/or 7330(b). It provides information about the number of trades that were accepted / declined / compared
The market is not free. Shorts are a scam. Naked shorting is a scam. In the name of AMC… the company is a victim of shorting, and likely naked shorting with the recent information on millions of failure to deliver numbers DAILY! What is being done about this? How can we allow this in a free society? This is embarrassing to American markets. How can AMC trade its own float multiple times a week?
Number
Date
Title
2022-85
May 20, 2022
SEC Charges Wells Fargo Advisors with Anti-Money Laundering Related Violations
SEC Order
2022-83
May 16, 2022
SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer
SEC Complaint
2022-1
January 5, 2022
SEC Charges Additional Defendant in Phony
I would like to have equal transparency among all investors and eliminate dark pool trading and other off site trading venues that the majority of retail investors do not have access to. Fines for cheating are not enough. Liquidate institutions who fail to deliver!
The Contra Reporting Firm 20 Minute Compliance Report Card is a monthly status report on compliance for market participants with the requirement that Contra Firms accept / decline / compare trades within 20 minutes of trade execution. It provides information about the number of trades that were accepted / declined / compared within 20 minutes of execution, along with the number of trades that
On January 31, 2022, FINRA introduced the Participant Data Management System (“PDM”) which firms now use to manage access to the FINRA trade reporting facilities, including TRACE, ORF and ADF. PDM also allows firms to add, view, and modify users of the TRAQS web interface. Firms are strongly encouraged to use PDM to review their TRAQS users on a regular basis to ensure that accounts remain valid
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
The NASDAQ market has over the past several years experienced a sustained period of growth which in many ways is attributable to the use of technologically advanced facilities and systems that have served to enhance the quality of this marketplace. The significant growth and visibility of the NASDAQ market, along with the
My only comment is that if an individual is on a margin account, why should they be governed by the PDT rule. Or better yet, why does this rule still exist. It is the most un-American regulation Ive ever heard of. That your organization has the audacity to try and tell hardworking Americans what how much they must have in order to day trade. This is an obvious sham, and does not exist to protect
I would like to see something done about the dark pool trading and the lack of reporting that comes from trading outside of the markets. Manipulation by routing buy orders into darkpool trading and leaving sells in the market to manipulate the price while also using the dark pools to ladder attack with synthetic shares which don't get reported needs to end. Hiding short sells in options is
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Executive Summary
On March 18, 1993, the Securities and Exchange Commission (SEC) approved NASD rules regarding quotation- and transaction-reporting requirements for members trading high-yield, fixed-income securities. The following Notice answers some commonly
