NASD has filed with the SEC a proposed rule change discussing the implementation of new and revised qualification examinations to address trading in security futures.
There are lots of rules. Few are enforced. There are lots of fines, but none that actually deter illegal market practices. Enforce and fine accordingly with imprisonment and insolvency. No more illegal manipulation thru dark pools, no more illegal shorts and fraudulent shares, no more hiding short positions, no more kicking ftds down the road.
We retail investors dont want more propaganda shoved down out throats. We know the risks the problem is institutional investors [REDACTED]. Quit trying to take out the little investor and if you really wanna help remove the day trading rule. [REDACTED] LEAVE RETAIL TRADERS ALONE!!!!!!!
Transparency in the market! Frequent monitoring of naked shorting especially from Citadel who is a Market Maker and Hedge fund which is a conflict of interest. START ENFORCING RULES! MAYBE SEC SHOULD DO THEIR JOBS AND STOP WITH THE PETTY FINES! HOW ABOUT SOME JAIL TIME!! We are looking for a freedom market.
When it’s more profitable to break the law there will never be the change that is needed in the markets. Making 100 million dollars illegally and it only costs 25 million in fines equals a profitable business model. Why would they EVER follow rules??? The system is broken, rigged and allows outright theft, fraud and manipulation.
(a) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been identified in the System as principal for clearing and settling a trade, whether for its own account or for a correspondent firm.
(b) The term "Correspondent Executing Broker-Dealer" or "Correspondent Executing Broker" shall mean the member firm that has
(a) Applicability of Document Production Lists
The Director will notify parties of the location of the FINRA Discovery Guide and Document Production Lists on FINRA's Web site, but will provide a copy to the parties upon request. Document Production Lists 1 and 2 describe the documents that are presumed to be discoverable in all arbitrations between a customer and a member or
(a) If a party is added to an arbitration after the Director sends the lists generated by the list selection algorithm to the parties, but before the ranked lists are due to the Director, the Director will send the lists to the newly added party, and for each arbitrator listed, a disclosure report containing employment history and other background information. The newly added party may rank and
OverviewWhen considering their obligations to provide all available breakpoint discounts on sales of Class A shares of front-end load mutual funds, member firms may review the following Breakpoint Checklist and Breakpoint Worksheet, which may help member firms evaluate their breakpoint compliance programs and confirm whether they are capturing all relevant categories of information to provide
Good day, First, I want to applaud your efforts to make things safer for investors, both retail and institutional. The US remains one the safest places to put money to work. I would like to comment on this proposed rule. To be clear, as a retail investor, I do not approve of this rule change. Let me explain my rational. I believe markets respond most to the change in inflation and growth. I
