SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Wednesday, November 11, 1992, and Thanksgiving Day, Thursday, November 26, 1992. On
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
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystems Trading
*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Christmas Day, Tuesday, December 25, 1990, and New Year's Day, Tuesday, January 1, 1991. All
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Thanksgiving Day, Thursday, November 22, 1990. All securities markets will be closed on Thursday,
To the regulators: I'm extremely tired of gov't regulators who constantly interfere with every day citizens' freedom in every aspect of our lives. You, regulators and corrupt politicians in DC are so hungry of power and control over our daily lives. You constantly want to cram down rules and regulations on the everyday American citizens, and yet Congress, their congressional staff
I would like to see Finra do a daily count of all short positions in the markets by having all Industry Members report to Finra directly, specifically Dark Pool data. As retail traders as a collective have now become ever increasingly aware of the Synthetic shares which are traded in the dark pools to manipulate the price of a stock.
Short sales in general used to manipulate stock price is price manipulation of a stock and should be 100% illegal. With that being said if it is to continue it needs to be live time and 100% trackable. What I am watching happen with short selling, naked short selling and dark pool trading is beyond criminal and needs to be addressed asap. The world is watching.
Dear FINRA REGULATORS:
As a registered rep. for Hornblower & Weeks at 40 Wall, NYC, in 1960 and later at their uptown offices on Park Avenue at 50th, I became a devotee of Elliot Wave Theory and Edwards and Magee's Tech Stock studies. I had several times visited the packed, busy floor of the NY Stock Exchange on Broad Street, which today is virtually barren of human life.
There needs to be regulations and laws put in place to separate market makers from those able to make trades in the market. How is it a free market when retail investors clearly have a disadvantage compared to hedgefunds. People are losing hope in the market, especially because of what you’re allowing to happen with heavily shorted stocks such as AMC and GME.
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Best execution is a significant investor protection requirement that essentially obligates a broker-dealer to exercise reasonable care to execute a customer's order in a way to obtain the most advantageous
