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
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The U.S. government has imposed sanctions in response to Russia’s actions in Ukraine. FINRA is issuing this Notice to provide member firms with information about these recent actions. FINRA encourages member firms to continue to monitor the Department of Treasury’s Office of Foreign Asset Control (OFAC) website for relevant information.
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FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
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
What is extremely discouraging is becoming aware of Dark pools, And in particular Citadel Connect. Where apparently they don’t have to report anything to Finra?? Is they are using dark pools and the connect forum to trade. And Lee the stock price down of say AMC for example. Is gives very little confidence in the system. especially as retail investor are becoming increasingly more aware of how
Why on God's green Earth would short interest be something self reported? This has been the free money printing scheme since the dawn of ages. What happens when the people with IOU's come to collect their gold and there's more IOU's than gold? We're talking government collapse! The average American investor has been propping up Wall St. since the beginning, we watched our
Fair Play. I don’t think a hedge fund should be involve in market maker ( conflict of interest) . Privilege to have first hand information. Short positions must be disclosed. Media should be regulated, they are not financial advisor. They can’t tell people what to buy or what to forget. And the most important. Laws and rules must be followed. Institutions must act accordingly , the employees of
Greetings, Shorting as a market practice is unfair and illogical. How can a person sell what they do not own? That should not be legal and seems like fraud, to be blunt. Self-reporting also does not seem to be working, and the ability for borrowed stock to be mis-marked is a serious issue. Shares need a better marking system to denote “borrowed” and “sold while borrowed (shorted)”, and a running
Get rid of all the T-delay non-sense. We are in a digital era, any delays are beneficial to only the larger institutions. They have to file to make it known when they take a bullish position. Why not when they take a short one? Our system is corrupt, please do what you can to fix this clear advantage for them. I should know where institutions stand for or against any stock I own in real time.
