The state of the United States financial markets is a disgrace in no small part due to egregious abuse of short selling. Skirting of the current rules and regulations is commonplace and the penalties of such behavior, even when caught, are laughable given the profitability of such behavior. Both the prevention of this criminal activity and bolstering of punishment for said activity must be
SUGGESTED ROUTING:*
Corporate FinanceLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comment on amending the filing requirements of the Interpretation of the Board of Governors — Review of Corporate Financing to exempt offerings of Canadian issuers filed on proposed SEC Form F-9, and on Form F-
Investors of Color are Entering the Market at a Faster Pace than White Investors and Tend to Be Much Younger, Report Shows
Frequently asked questions and answers
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Senior ManagementLegal & ComplianceOperationsTrading
Executive Summary
The Securities and Exchange Commission (SEC) has adopted amendments to certain rules under the Securities Exchange Act of 1934 (Act) that apply to transactions in low-priced securities traded in the over-the-counter market. Specifically, the SEC amended Rule 15c2-6, which makes it
The current downturn in the stock market has hurt many investors. When bond yields were at historic lows in the past year, I continued purchases of 2x inverse 20 and 10 year treasury bond etf's, until they became 20% of my portfolio. This was my hedge against inflationary pressures, because higher p/e ratios cannot be maintained when bond yields rise. My 2X inverse bond holdings have now
GeneralDo Rules 5110, 5121 and 2310 (the “Corporate Financing Rules”) apply to Regulation A offerings?Yes. Rule 5110(a)(2) requires all public offerings, with limited exceptions as provided in Rule 5110(h), to be filed with FINRA. Regulation A+ offerings are public offerings subject to the Corporate Financing Rules. A member must comply with Rule 5121 (Public Offerings of Securities with
Report Examines Attitudes, Behaviors of Investors Ages 18 to 25
WASHINGTON—FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing: Social Media, Crypto, FOMO, and Family.
The report examines attitudes and behaviors around investing among two Gen Z segments (ages 18 to 25) in the United States—those with and
This data provides total and average daily trading volumes for the prior month in corporate, agency and securitized products reported to TRACE. Learn more about corporate, agency and other bonds.
The data is grouped into "Total," "ATS” (Alternative Trading System), ”Interdealer" and "Dealer-to-Customer" categories.
The data is published
