The NASD published the following Notices to Members during 1994. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also available at $150. Request, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
I have traded in this market for DECADES and it has come to my attention since being out of work how much naked shorts, market manipulation and price spoofing and lastly killing any signs of a increased stock like AMC its criminal. Ive alerted my attorney and am very unhappy . Im sure the institutions are doing what they need to protect itself but myself and others have came in the middle of a
Summary
FINRA is issuing this Notice to provide guidance to member firms regarding suspicious activity monitoring and reporting obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program).
Questions concerning this Notice should be directed to:
Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104; or
Blake Snyder, Senior Director, Member
All the illegal stuff needs to stop happening. How about that? Is that a good comment? Maybe you guys should have done your jobs in the first place. Maybe this wouldn't be an issue. Look what allowing this to continue has done to our "great" nation. You allow vile scum to make a mockery of our center of trade. You allow these disgusting vermin to pollute our systems and
Hello As a market investor in certain stocks which have been massively naked shorted by hedge funds, I feel we need total and complete transparency of all short positions. All short positions should be made public. All off-exchange dark pools should be banned except for real large block trades, which was the original intent. Naked shorting should be regulated and prohibited to a greater extent.
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
• Churning or Excessive Trading
• Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
• Customer Account Transfer Contracts—Failure to Comply With Rule Requirements
• Day-Trading Accounts—Failure to Comply With Risk
INFORMATIONAL
Compensation and Mixed Capacity Trading
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Executive Summary
The Nasdaq Stock Market, Inc. (Nasdaq®) and NASD Regulation, Inc. (NASD Regulation) believe that market rules should enhance investor
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
