Laura is a single mother who earns less than $40,000 per year. In 2016, Laura, who had little investing experience, decided to invest in the stock market. She met with a broker and, at his suggestion, opened a brokerage account and deposited approximately $13,500—which constituted almost all of her savings. Less than a year later, Laura’s account had lost more than $9,000. Yet, Laura’s broker had
re: Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting To whom it may concern, the current structure and function of the American Equities Markets has, over a period of many years (& now on display for the whole world to see in the unfolding of the Meme Stock Scandal), been utilized to swindle trillions of dollars from The American
Trade Date—Settlement Date Schedule
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date—Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance of the financial community of Veterans' Day, Monday, November 11,
You are requested to comment on these proposals. Let's face it, the Hedge Funds are going to be using their voices to prevent these changes from occurring so we need to use our voice too. There are a lot more apes than Hedgies. I've cut and pasted just some of the proposals (man, if you think this is a long and dry read, wait until you read the webpage): - Account-level Position
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
On January 24, 1994, the Securities and Exchange Commission (SEC) approved new Section 47, Article III, of the Rules of Fair Practice that requires members entering into clearing or carrying agreements to specify the obligations and supervisory responsibilities of both the introducing and clearing
SEC Approves Changes to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws; Effective Date: August 20, 2009
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(a) Except as provided herein, a member that accepts and holds an order in an equity security from its own customer or a customer of another broker-dealer without immediately executing the order is prohibited from trading that security on the same side of the market for its own account at a price that would satisfy the customer order, unless it immediately thereafter executes the customer order
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
As previously reported in Notice to Members 88-104 and 89-17, the NASD requires its members to respond to requests for trading data by using a standardized automated format. This format is
As part of the expansion of the OATS Rules to all NMS stocks, FINRA will electronically link OATS Route Reports to the related order in the applicable NYSE market, similar to orders routed to a NASDAQ market.
