When I buy and hold a stock, like AMC, the obvious hope and intent for me is that the price will go up and I will make a profit. So it doesn’t make sense to me that an entity that holds my shares for me, like Robinhood for example, can lend my shares to someone else then the borrower uses my shares to short and drive down the price. They benefit by achieving their goal of lowering the price, the
Dear FINRA: Firstly, I would like to thank you for giving the investor community an opportunity to be heard. For countless years, the investor community is deeply frustrated over the continuous manipulation of our financial system. I would like to address the following deep rooted issues regarding short selling within our financial system, and suggest possible solutions to mitigate risk in the
SUGGESTED ROUTING
Legal & Compliance
Operations
Options
Executive Summary
The Securities and Exchange Commission has approved proposals by each of the five registered national options exchanges and the National Association of Securities Dealers, Inc. (the SROs) that provide member firms with more flexibility in how they store account statements and other information for
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt, in anticipation of The NASDAQ Stock Market LLC (the “Nasdaq Exchange”) beginning to trade non-Nasdaq exchange-listed securities on an unlisted trading privileges (“UTP”) basis, new NASD Rule 5150 to require an NASD member that is registered as a market maker with the Nasdaq Exchange
Dear Regulators,
I should be able to make my own investment decisions in publicly traded assets based on my understanding of the risks involved in leveraged, Covered Call, inverse, and non K1 commodity funds without the burden of passing additional tests and the elitist nonsense of minimum asset amounts. My traditional "conservative" stock/bond mix portfolios have all dropped
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Comment Period Expires August 1, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® requests member comment on proposed amendments to Section 2 of Schedule E to the NASD By-Laws to amend the exception from the qualified independent underwriter requirement for offerings of securities with a bona fide
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
Effective April 1, 1998, the Board of Governors (Board) of the Federal Reserve System (FED) adopted several amendments to Regulation (Reg) T, as well as Regs U and X. In
When a company files for bankruptcy protection, chances are its shares will lose most, if not all, of their value. Here’s a look at what shareholders can expect and why it’s so risky to trade in the delisted shares of bankrupt companies.
Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
