I would like to see changes in the reporting of shorts taken place in real time, full transparency from all investors from insiders to retail investors (with an emphasis on hedge funds), discontinued use of algorithmic trading tactics, synthetic shares, loop holes used to create selling pressure, and any other market manipulation tactics. I want to see real action taken to prevent and correct
Short sale reporting should require actual shares to be in their position to short. Reporting should consolidate every trading day to ensure there is only 100% of the float in circulation. Naked shorting should be a fine at a 15% of the firms last year revenue earned. In addition repeat violations should increase in 30% to impact the firms overall bottom line to ensure it is not the cost of doing
Shares should have a tracking number on them. Trading would be simplified and tracking fraud would be easy to find. Locates also need to be recorded as soon as they are put in use and or taken off the books when finished using...... IN A CENTRALIZED PLACE FOR ALL TO SEE.... As of right now. creating more float than available is a major problem. When the float of a company is held... The price
A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA announced today in a blog post.
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock Market™ and the securities exchanges will be closed on Thursday, November 23, in observance of Thanksgiving Day. "Regular way" transactions made on the business days rioted below will be subject to the following schedule:
Trade Date
Settlement Date
Reg
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
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
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, May 29, 1995, in observance of Memorial Day. "Regular way" transactions made on the business days noted below will be subject to the following schedule:
Trade Date
Settlement Date
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, July 5, 1993 in observance of Independence Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date
Settlement Date
Reg. T Date*
June
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The Nasdaq Stock MarketSM and the securities exchanges will be closed on Monday, May 31, 1993, in observance of Memorial Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date
Settlement Date
Reg. T Date*
May 21
