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Transparency is very important to a free and fair market. Understandably, market makers need to "make the market" with points of anninumy. However, if those loopholes can be used to create legal manipulation of the markets, a fair balance of transparency should be developed. With transparency no market maker should be allowed to "make the market" with their and their clients
FINRA Changes the Effective Date for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
(a) Authority to Receive Complaints
(1) For the purposes of this Rule, a "direct or indirect access complaint" is a complaint against an ADF Trading Center, as defined in Rule 6220, that alleges a denial or limitation of access in contravention of Rule 6250 or the federal securities laws.
(2) Any registered broker-dealer that wishes to file a direct or indirect access complaint shall
(a) A member or person associated with a member may appeal a determination to declare a transaction null and void made by a FINRA officer under Rule 11892 to the UPC Committee, unless a decision is made by a FINRA officer under Rule 11892.02 regarding transactions that occurred outside of the applicable Price Bands disseminated pursuant to the LULD Plan, and further provided that rulings made by
How much money is the average American losing each year on "sports betting?" How many jobs does that money flow produce each year? Wouldn't that money be better utilized as an investment in the stock market? Doesn't retail investing produce more jobs? If you agree with the simple premise that a $1 invested in the market is better for America than $1 gambled on sports betting
(a) A member shall use the facilities of a securities depository for the book-entry settlement of all transactions in depository eligible securities with another member or a member of a national securities exchange or a registered securities association.
(b) A member shall not effect a delivery-versus-payment or receipt-versus payment transaction in a depository eligible security with a
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
FINRA rules require that member's communications with the public be accurate, fair and not misleading. An investor considering the series of a broker-dealer, including a "discount" broker, should be informed of all factors material to his use of such broker-dealer's services. There are many variables in the charges and services offered by broker-dealers and it isn't reasonable to expect that every variation be included in media advertising, given the expense of such advertising. Relevant factors not included in advertisements should be communicated to persons responding, however. Certain items should be included in the advertisement itself, when the advertisement would be misleading in the absence of their disclosure.
THE STATE OF SHORT SELLING AND MANIPULATION IN THIS CURRENT MARKET IS ABSOLUTELY ABNORMAL. A LOT OF SHADY [REDACTED] GOING ON. WE NEED MORE TRANSPARENCY AND ALSO CONSEQUENCES TO PEOPLE ABUSING THEIR POWER. WHENEVER THE RETAIL INVESTORS GATHER TOGETHER AND TRY TO DO SOMETHING FOR OURSELVES AND FAMILY, WE ARE TO BLAME WHICH IS OVERLOOKING THE AMOUNT OF MANIPULATION THESE HEDGEFUNDS ARE DOING. WHEN
