SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Executive Summary
The Securities and Exchange Commission (SEC) recently adopted Rule 15c6-1 under the Securities Exchange Act of 1934 to establish three business days, instead of five, as the standard settlement time-frame
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
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle
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
The fact that hedge funds can manipulate a stock with short selling stocks that are not even available is a crime that needs to be punished. This is not a new senerio but one that has been overlooked for a long time. Now millions of retail investors have realized the fraud and are demanding action. If this is not rectified the retail investor will pull out of the stock market as it is not a level
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
SUGGESTED ROUTING*
Senior Management Legal & Compliance OperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Small Order Execution System (SOES) was created to allow public customers to enter orders of limited size into the NASDAQ System for immediate execution at the best available price. Section 3(c) of the SOES
The Cybersecurity and Technology Governance section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
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.
