The market should be fair for all. Not just the super rich. Since I started investing 2 years ago, I have lost all confidence in the American stock exchange and once the amc story plays out, I will likely not continue. All the data points to illegal activity, yet it continues and has done for years. I never realized of corrupt the American system is, until of late. Many people should be in jail
Utterly shocked that hedge funds are allowed to poof money into existence. Where do I sign up to learn how to perform this kind of wizardry? Serious note… we look forward to new regs being enforced… otherwise, all faith is lost in the US financial system, which is easy when we’ve lost faith in our governing bodies, and zero faith in the media.. might I add… big tech can burn with them too. Is
Wednesday, March 30
All times are listed in Eastern Time
8:30 a.m. – 5:00 p.m. Registration and Cloud Computing & Cybersecurity Solutions Exhibitors
8:30 a.m. – 10:00 a.m. &
(a) This rule provides procedures under which parties and arbitrators may communicate directly.
(b) Only parties that are represented by counsel may use direct communication under this rule. If, during the proceeding, a party chooses to appear without counsel, this rule shall no longer apply.
(c) All arbitrators and all parties must agree to the use of direct communication during the
(a) Parties may not submit documents to arbitrator(s) in cases that have been closed except under the following limited circumstances:
(1) as ordered by a court;
(2) at the request of any party within 10 days of service of an award or notice that a matter has been closed, for typographical or computational errors, or mistakes in the description of any person or property referred to in
(a) This rule provides procedures under which parties and arbitrators may communicate directly.
(b) Only parties that are represented by counsel may use direct communication under this rule. If, during the proceeding, a party chooses to appear without counsel, this rule shall no longer apply.
(c) All arbitrators and all parties must agree to the use of direct communication during the Initial
(a) Parties may not submit documents to arbitrator(s) in cases that have been closed except under the following limited circumstances:
(1) as ordered by a court;
(2) at the request of any party within 10 days of service of an award or notice that a matter has been closed, for typographical or computational errors, or mistakes in the description of any person or property referred to in
RE: comments about Reg. Notice 22-08 Many of my friends prefer using financial professionals, I prefer self-directed platforms. As an individual on a self-directed platform, I've become much more aware and capable of managing the risks for products like leveraged ETFs. My 20+ year experience with these instruments is positive and they do what they advertise. Their beauty is in their
On This PageSection 100: GeneralSection 200: Equity and OptionsSection 300: DebtSection 400: FuturesGeneralQ100.1: What is the Trading Activity Fee?A100.1: The Trading Activity Fee, or TAF, is one of the member regulatory fees FINRA assesses to recover the costs the supervising and regulating firms. This includes costs associated with performing examinations, financial
ATS Supervision Obligations
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
FINRA Rule 2020
FINRA Rule 3110
FINRA Rule 4370
FINRA Rule 5210
FINRA Rule 6190
FINRA Rule 6191
Regulatory Notice 14-10
Regulatory Notice 17-22
SEA Rule 15c3-5
