I have spent thousands of hours reading, researching, and investigating all of the ins and outs of the markets for many years. Never have I ever seen as much blatant manipulation as we do now by certain short sellers. The media articles. The dark pool trading. Short sellers MUST BE INVESTIGATED. They're hiding the manipulation in broad daylight. And it's cost me thousands of settled
SummaryFor the past several years, FINRA has encouraged firms to keep their risk monitoring analyst informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital assets, including digital assets that are non-securities.1 FINRA appreciates members’ cooperation with this request and is encouraging firms to continue to keep
This rule is no longer applicable.
The term "stock" includes voting trust certificates, certificates of deposit for stocks, rights, warrants, and other securities of a type classified for trading as stocks by the Exchange.
Amended:
March 26, 1970.
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
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
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to eliminate the Order Audit Trail System (“OATS”) rules in the FINRA Rule 7400 Series and FINRA Rule 4554 (Alternative Trading Systems — Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) once members are
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
All short positions should be transparent and recorded daily. https://www.sec.gov/rules/petitions/2020/petn4-758.pdf February 12, 2020 Vanessa Countryman Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Petition for Rulemaking on Short and Distort Dear Ms. Countryman: Petitioners signed below respectfully submit this petition for rulemaking pursuant
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
