More frequent public reporting of short positions is needed, more detail in public reports, and more transparency for the retail investor. The markets have become a corrupt and lopsided playing field that caters to big money and leaves the retail investor at a decided disadvantage. Hedge funds play by a different set of rules, and then get slapped on the wrist for the kinds of illegal activities
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of November 28, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ASGU.GA
Amerisourcebergen Corp
8.
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United States citizens are the creators and the product of the democratic systems they make. That's a high responsibility, and one which many American are ill-equipped to make. That doesn't mean they ought to lose it. Likewise in finance, regulators ought to take reasonable action to protect Americans, but Americans are ultimately individually responsible to themselves, their
FINRA is issuing this Regulatory Notice to provide members an update on regulatory coordination efforts concerning compliance with CAT reporting rules (the “CAT compliance rules”). In particular, FINRA and the national securities exchanges, as CAT NMS Plan Participants, have entered into a Rule 17d-2 Plan and corresponding Regulatory Services Agreements (RSAs) to coordinate regulation of the CAT
I oppose the FINRA Regulatory Notice #22-08. This regulation is an unprecedented attack on the workings of a free market system. It has no basis in reality, meaning it is not addressing any real issue. There is no need for this type of regulation, it is not protecting anybody and it seems a covert attempt to manipulate and allow further manipulation of markets. We do not need more draconian,
As a retail investor who does my own homework, I don’t need more regulation from a nongovernmental organization. Using inverse ETFs when I deem them appropriate has helped my retirement funds gain 9% YTD, whereas commonly traded ETFs like SPY, QQQ, and TLT are down 12-20% YTD. Perhaps you’d first like to explain to the Fed that inflation is not “transitory”? Or perhaps explain to them the
INFORMATIONAL
OTC Bulletin Board
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Trading & Market Making
OTC Bulletin Board
Eligibility Rule
The Suggested Routing function is meant to aid the reader of this
Technology has made stock trading more accessible to retail investors in a variety of ways, including the increased availability of extended-hours trading. But while placing an order to trade outside of regular trading hours might seem simple, this market can be complex and risky.
INFORMATIONALOptions ExemptionSUGGESTED ROUTING KEY TOPICS Legal and ComplianceOperations ManagersSenior Management Options ExemptionTrading Activity Fee Executive SummaryOn May 30, 2003, the Securities and Exchange Commission (SEC or Commission) permanently approved revisions to NASD By-Laws, eliminating the current Regulatory Fee assessed upon NASD members
