This Rule 6400 Series sets forth quotation and trading requirements for "OTC Equity Securities" as that term is defined in Rule 6420.
Members shall use the OTC Reporting Facility for trade reporting in OTC Equity Securities and Restricted Equity Securities in compliance with the Rule 6600 and 7300 Series, as well as all other applicable rules and regulations.
Amended by
(a) A Trade Reporting Facility Participant shall clear and settle transactions in designated securities through the facilities of a registered clearing agency that uses a continuous net settlement system. This requirement may be satisfied by direct participation, use of direct clearing services, or by entry into a correspondent clearing arrangement with another member that clears trades through
<p>Cash rebates issued to pension plan customers with respect to secondary market transactions in outstanding securities (under former Article III, Section 24, now Rule 2740 and IM-2740).</p>
Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
48
Backing Away
49
Best Execution—Failure to Comply With Requirements for Best Execution
50
Branch Offices—Failure to Register
39
Cheating, Using an Impostor,
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Veteran's Day, Wednesday, November 11, and Thanksgiving Day, Thursday, November 26. On Wednesday, November 11, the NASDAQ System and the exchange markets will be open for trading. However, it will
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Veteran's Day, Tuesday, November 11, and Thanksgiving Day, Thursday, November 27. On Tuesday, November 11, the NASDAQ System and the exchange markets will be open for trading. However, it will not
3x etfs are fine. Have the exchange do what they already do and inform the investor at the top of the leveraged etf that they can lose their entire investment. Don't make it difficult to buy and hold tqqq long term...its only made me money... swing trading/ daytrading. But people that have held it long have done great.
Daily short reporting. Also Eliiminate this T+2 reporting. It allows naked short in the days between. Fines are equivalent to 100% of profits taken, if they cannot prove the profits then 100% of the revenue of the trade. Pantry fines are essentially green lights for million of dollars of profit for there illegal activities
We would like to see more transparency in the market. Retail investors are not privy to everything the hedge funds are. We cannot trade in pre market or after hours. There are rules in place, and we would like to see the SEC, DTCC, Et al to enforce those rules.
