"Protecting us from ourselves" -- i.e., barring us from choosing to take a on position of high risk and high reward -- has no place in America, especially in an area so obviously volatile as the equity markets. Existing regulations well protect us citizens from being duped. Adding regulations to try to protect us from financial losses is a patronizing fool's errand, which will only
The Treasury Aggregate Statistics provide trading volume in U.S. Treasury securities reported to TRACE for the prior week. The reports have been published since March 2020. On January 3, 2023, FINRA will enhance the reports as follows:
The weekly data reports will be replaced with daily and monthly reports. The last weekly report will be published on January 4, 2023 for the week
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems
Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing System (FIPS) for members trading high-yield bonds. Initially, 35 bonds were designated as FIPS issues requiring quotation entry by brokers and dealers. The
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SOES Order Sizes
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Systems
Trading
SOES Maximum Order Sizes
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
Effective January 10, 2000
FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions. FINRA Rule 4530 was modeled after former [NASD Rule 3070] and former [NYSE Rule 351]. Any matter that becomes subject to reporting or filing on or after July 1, 2011, must be reported
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective April 1, 1998, tier sizes for 547 Nasdaq National Market® securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).
For more
<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective October 1, 1997, tier sizes for 537 Nasdaq National Market® securities will be revised in accordance with NASD® Rule 4710(g).
For more information, please contact Nasdaq® Market Operations at (203) 378-0284.
Description
Under Rule 4710, the maximum Small Order Execution
I have been invesing since 1960 in 8th grade when I bought 1 shares of US Seel and 2 shares of Poliroid. US Steel didnt turn out to well but on 2 shares of Poliroid which spit 4 for 1 and then 2 for 1 made about $600 on $120 investment. I have been investing eversince thru corrections , Bull runs and crashes. In the 2008 financial crisses lost 90% because HF's and banks stacked the deck on
