Domestic and international retail investors are in dire need for a transparent and fair free market. Public scrutiny of market makers, investment firms and brokerages is at a tipping point where the average investor does not believe in a fair market. Individual investors are uncovering evidence of insider trading, price manipulation of securities sold in the NYSE and more importantly "Dark
Good Afternoon, I saw you are looking for comments on 21-19, regarding short positions. As I see it, the current US market is full of nothing but fraud, with the regulatory agencies being complicit. They are complicit through their complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehanna being allowed to
TO: All NASD Members and NASDAQ Subscribers
On October 5, 1983, the Securities and Exchange Commission adopted a rule change which will require all foreign issuers seeking inclusion in NASDAQ to be registered pursuant to Section 12(g) of the Securities Exchange Act of 1934. This registration requires foreign issuers to file periodic reports with the Commission similar to those filed by domestic
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Executive Summary
On January 29, 1996, the Securities
and Exchange Commission (SEC)
approved amendments to Sections
1(a)(v)
Haimera Workie, Vice President and Head of Financial innovation, oversees the Office of Financial Innovation. In this capacity, he is responsible for leading FINRA’s Office of Financial Innovation, which focuses on analyzing financial technology (FinTech) innovations and emerging risks and trends related to the securities market. As part of these responsibilities, Mr. Workie works to foster an
(a) No member or person associated with a member shall execute or cause to be executed, directly or indirectly, a transaction otherwise than on an exchange in a security subject to an initial public offering until such security has first opened for trading on the national securities exchange listing the security, as indicated by the dissemination of an opening transaction in the security by
Holly Lokken is Senior Vice President in Market Regulation and Transparency Services. Ms. Lokken leads the Trading and Market Data Analytics business unit, which is a centralized market analytics center of excellence providing rapid, innovative, and impactful data and market analytics to each of FINRA’s Market Regulation core functions as well as the broader FINRA organization. Ms.
Michael Garawski is Senior Vice President and Director, Appellate Group, in FINRA’s Office of General Counsel (OGC). Mr. Garawski manages the program that advises FINRA’s National Adjudicatory Council and that represents FINRA in appeals that challenge FINRA’s regulatory actions before the SEC. Previously, Mr. Garawski served as Associate General Counsel, Regulatory Practice &
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Effective Date: June 5, 2000
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NASD Rule 4613
Executive Summary
On February 7, 2000, the Securities and Exchange Commission (SEC) approved changes to National Association of
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