I not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. Explain that you are capable of understanding
Executive Summary
In mid-January, the Securities and Exchange Commission (SEC) approved a revised NASD Manual. To facilitate your adjustment to this new Manual, which is scheduled for publication and dissemination this May, we have included a Guide to the Manual: New-to-Old Conversion Chart and Old-to-New Conversion Chart. This material outlines the reorganized Manual and indicates where the
As announced in a Technical Notice on 6/3/19, there was an issue in the Tier 1 5/13/19 weekly report where some ATS data was unattributed. The issue has now been resolved. The unattributed data was actually associated with trade activity on the MLIX Instinct X ATS. The line data for MLIX has now been updated to reflect the additional activity.
If you have any questions, please contact FINRA
Amendments to Standardized Options Exercise Procedures and Extension of Contrary Exercise Advice Cut-Off Time
For purposes of the Rule 6800 Series:(a) "Account Effective Date" means:(1) with regard to those circumstances in which an Industry Member has established a trading relationship with an institution but has not established an account with that institution:(A) when the trading relationship was established prior to commencement of Phase 2c or Phase 2d (as applicable depending on
Current rules/regulations that are in place to monitor/report short selling and positions associated with short selling are entirely inadequate. Rules in place that allow for many loop-holes including short exempt, married calls/puts and dark pool activity + high frequency trading leaves currently regulations looking like swiss-cheese. Abuse from market makers and hedgefunds that are paid in gold
What is extremely discouraging is becoming aware of Dark pools, And in particular Citadel Connect. Where apparently they don’t have to report anything to Finra?? Is they are using dark pools and the connect forum to trade. And Lee the stock price down of say AMC for example. Is gives very little confidence in the system. especially as retail investor are becoming increasingly more aware of how
Zero transparency. Inaccurately reporting from short. Naked shorts and complacent rule makers. Unfair dark pool usage. Abusive shorting and dark pool manipulation. Naked calls and married puts. HIDING FTDs in ITM options. Labelling shorts as long. Distraction plays and spoofing/layering by ALL hedgefunds, money makers. Algorthmic and high frequency trading. The short interest is self reported and
TO: All NASD Members
ATTN: Operations Principals, Cashiers, and P&S Dept.
The Securities and Exchange Commission has approved amendments to Sections 5, 9, 12 and 30 of the Uniform Practice Code. The Code prescribes the manner in which over-the-counter securities transactions other than those cleared through a registered clearing agency are compared, cleared and settled between NASD
