SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to the Interpretation of the Board of Governors — Forwarding of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice to require NASD
Effective Date: June 12, 1998
SUGGESTED ROUTING
Senior Management
Institutional
Internal Audit
Legal & Compliance
Options
Systems
Trading
Executive Summary
On June 12, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of
The staff granted an exemption from NASD Rule 2790 in connection with new issue offering where all decisions regarding the allocation of shares in the offering are determined at the sole discretion of the issuer, and the involvement of a member in the offering is mandated under state law and limited solely to ministerial functions.October 18, 2005 Noel M. Gruber, Esq.Kennedy &
When it comes to calling the shots at a public company, CEOs run businesses on a day-to-day basis, but the board of directors shares in oversight of the company business. A public company’s board of directors is chosen by shareholders, and its primary job is to look out for shareholders’ interests.
EBS Submissions Following Implementation of the Option Symbology Initiative
Buying and selling securities is actually very easy, thanks in large part to technology. It almost seems like you’re doing the buying and selling yourself, but a brokerage firm is. Any time you buy or sell securities you typically must first open a brokerage account.
I mean where do I start. Really it at all falls on these hedge funds, "family offices", the corrupt DTCC, banks and market makers that really need to be investigated, watched and monitored constantly like they are small children to make sure their shady activities can't be executed with ease and no repercussions. If fines are handed down make the amounts astronomical so they stop.
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
Current total short interest updated no less than once per day. Short position averages as well as amounts sorted by length held. Ie: 400k shorted shares still uncovered/ current position lifespan 24 days. Total disclosure of what exactly is being pushed through dark pools. It's on par with financial terrorism, fraud, theft, and the like. Absolutely disgusting how our regulators sit back and
