SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the Securities and Exchange Commission (SEC) approved the NASD's amendments to Sections 5, 6, 12,46, and 64 of the Uniform Practice Code (the UPC) and Sections 1 and 26 of the Rules of Fair Practice (the RFP) to conform the NASD
We retail investors dont want more propaganda shoved down out throats. We know the risks the problem is institutional investors [REDACTED]. Quit trying to take out the little investor and if you really wanna help remove the day trading rule. [REDACTED] LEAVE RETAIL TRADERS ALONE!!!!!!!
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
How can AMC be the largest traded stock and the price go down? You people know this is going on. It’s just the little guy again big money and egos! This isn’t fair! Everyone deserves an even playing field. Please do what’s right and stop the naked shorting. Thank you.
Every share should be tracked with unique identifier. Every share should be located and lent only once. Every order should be delivered T+2 or fails mean 10x cost penalty and trading permission halted until delivered. Every short position should be updated with FINRA daily and publicly available.
Naked shorting illegal. Excessive FTD are punished. SSR actually enforced and shorting cannot be done in dark pools. Price manipulation banned. When buying volume is higher than selling volume, the price should NOT be going down. Please look into and start enforcing fair market trading. Thank you.
First: Short selling to drive companies out of business should be illegal. All short sales should be made public before trading starts every day. Easily accessible NOT buried on a remote website. Short sales in excess of 1% of outstanding stock should be reported immediately and displayed with the stocks ticker symbol.
I own some shares in ProShares, a mutual fund that I own as a hedge - in case the market turns nasty (as it is now), at least something will keep its value. ProShares is a publicly traded company, and bought on the advice of Vanguard, the largest brokerage/ mutual fund company in the world. I don't like you "protecting" me by telling me what I can and cannot invest in
FINRA disciplinary actions for the month of June 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
On Monday, October 17, 2022, FINRA will conduct a Market Wide Circuit Breaker (MWCB) event in the Test Facility (NTF) for the OTC Reporting Facility (ORF). The MWCB will start at approximately 3 p.m. ET and run for five minutes. During this time ORF trade attempts will be rejected. The system will resume normal operations after the conclusion of the NTF MWCB event.
Please contact FINRA Product
