As a retail investor, it is very clear and evidenced through obvious stock price manipulation that the market as it is constructed today favors the hedge funds and market makers. Put simply, retail investors want a more transparent market for everyone. Some things that would help: 1. Accurate data reported in real time (short interest, FTD, etc…). Short positions should be reported and released
The FINRA Board of Governors will consider the following rulemaking items at its July 2013 meeting.
The political actions already by many of your member firms have had the opposite effect of diversity in the industry in which I am employed and licensed. I am a veteran but our company has chosen to close early on a non market holiday tomorrow June 18th, 2021. We don't close or close early for veterans day which is also to honor ALL of those who have served to preserve liberty, including the
SUGGESTED ROUTING
Corporate Finance
Government Securities
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $
Qualification Examinations Restructuring
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
FINRA Rule 8310
NASD Rule 1031
NASD Rule 1032
NASD Rule 1070
Suggested Routing
Compliance
Legal
Operations
Registration
Senior Management
Training
Key Topics
Central Registration
The FINRA Board of Governors will consider the following rulemaking items at its December 2012 meeting.
2017 Annual FINRA Election Cycle and Procedures Overview
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
The FINRA Board of Governors will consider the following rulemaking items at its April 2012 meeting.
TO: All NASD Members and Municipal Securities Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Thursday, November 28, 1985, in observance of Thanksgiving Day. "Regular-way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date-Settlement Date Schedule For "Regular-
