Summary Arbitration Statistics December 2014
New Case Filings through December:
2012
4,299
2013
3,714
2014
3822
2014 vs 2013
3%
Number of Cases Closed through December:
2012
4,877
2013
4,498
2014
3,838
2014 vs 2013
-15%
Turnaround Time1 (in months) through December:
Year
INFORMATIONAL
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date—Settlement Date Schedule
Memorial Day: Trade Date—Settlement Date Schedule
The Nasdaq Stock Market and the securities exchanges will be closed on Monday, May 27,
In the Showtime television series “Billions,” the ambitious U.S. attorney Chuck Rhoades, played by Paul Giamatti, is certain that a fictional hedge fund manager Bobby Axelrod, played by actor Damien Lewis, is guilty of insider trading.
“What have I done wrong? Really? Except make money. Succeed,” Axelrod says in his defense in an episode.
There isn’t a clear hero and villain in the television
INFORMATIONAL
Trade Date — Settlement Date
SUGGESTED ROUTING
KEY TOPIC
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date — Settlement Date Schedule
Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
The Nasdaq Stock Market® and the securities exchanges will
October 3, 2022 Re: Regulatory Notice 22-17, Request for Comment on a Proposal to Shorten the Trade Reporting Timeframe for Transactions in Certain TRACE-Eligible Securities From 15 Minutes to One Minute Dear FINRA, In response to the proposed amendment to FINRA Rule 6730, we are respectfully providing comments as to why the amendment, which would change the reporting time from 15 minutes to one
I have been investing for over 20 years, mainly in common stocks but sometimes in so-called “complex products” like futures, options, leveraged and inverse ETPs, etc. I use them when I believe they are suitable tools for the market situation at that moment. I don’t mean that I always make right investment decisions but, as a retail investor, I find that it is very important for me to have the
The restriction of investment in non-traditional stocks and bonds is a driving force in making the investment playing field unlevel between the regular Americans and HNW individuals/institutions. There is no benefit by limiting the playing field to the average American, and reduces the ability of wealth creation along with hedging abilities that HNW individuals have.
Inverse and leveraged ETFs
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veterans' Day, Friday, November 11, 1994, and Thanksgiving Day, Thursday, November 24, 1994. On Friday, November 11, The Nasdaq Stock Market™ and the securities exchanges will be open for trading. However, it
The NASD published the following Notices to Members during 1994. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also available at $150. Request, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements)
