Information on how to work with and access FINRA Data
I can’t express how glad I am to know someone is still looking out for the small-account trader…Many others have already stated the most obvious reasons to do away with the financial industry’s antiquated “[Fin.] Crow” laws, b/k/a “Pattern Day Trader (PDT) rules” – discriminatory pay-to-play minimums, forcing traders to take debilitating losses rather than be branded ‘PDT’/closing-orders-only,
A completely transparent market would allow retail traders to self teach themselves much easier. Along with an official site with all data, Picture Ortex without having to pay $500/year. Also, give us up to date information.... this T+2, T+5, T+13, T+35 stuff is nonsense in today's day and age. We have the technology to do it, so why aren't we giving current information? Creating a
I am a financial professional. I used to work for market dealer and I was not allowed to trade options. Leveraged ETFs gave me the opportunity to get some leverage and get a piece of the returns reserved only for big players like Hedge funds and Investment banks. I started trading options after I left the broker dealer. I was fully educated and knowledgeable of how to manage risk. Good market
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 11, 1991, the following 11 issues joined Nasdaq/NMS, bringing the total number of issues to 2,573:
Symbol
Company
Entry Date
SOES Execution Level
FBII
First Bancorp Indiana, Inc.
12/13/90
500
CATY
Cathay Bancorp, Inc.
12/14/
Regulatory ObligationsSEA Rule 15c2-11 governs the publication or submission of quotations by broker-dealers in a quotation medium other than a national securities exchange (i.e., the OTC market).1 The rule generally prohibits a broker-dealer from publishing a quotation for any security in a quotation medium unless the broker-dealer has reviewed current and publicly available information
FINRA disciplinary actions for the month of July 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
Do not restrict my ability to choose the public investments that I decide to buy/sell. I have been investing for over 30 years and am completely capable of making my own choices without the help of a registered broker. I use both leveraged and inverse funds when I deem them advantageous to my investing plan. I know how to place stops, sell, etc when I do not want them in my portfolio. I have the
As a self-regulatory conglomerate it is beyond the reasoning of a "retail" investor as to why such ordinances do not already exist. The SEC itself has proclaimed naked-short selling to be a well established predatory and dangerous practice that undermines the free-market operations of millions of non-institutional investors who cannot play by the same rules. In addition to the
Frequently asked questions about private placements.
