INFORMATIONAL
Displaying Customer Limit Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Systems
Trading & Market Making
Limit Orders
Order Handling Rules
SEC Rule 11Ac1-4 (Display Rule)
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context
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.
When will this outrageous naked short selling of the Hedge Funds stop? We have such a corrupt system; who will be brave enough to put an end to this madness? The Hedge Funds are no different than the men and women behind “bars,” the only difference is the Hedge Funds are allowed to get away with their crime. The Hedge Funds have robbed millions of shareholders who own AME and GME stocks by
I fully support Short Interest Position Reporting Enhancements, I am a 63 year old retail trader who has seen short selling abused over many years. I believe the enhancements plus additional regulations that will help stop the market manipluation using shorts and naked shorts is crucial to head off future financial disasters in the marketplace. Please pass these proposals and consider anything
The cat's out of the bag; retail investors now see and know that hedge funds and big business, in general, are taking advantage of the general public. Excessive and indefinite short-selling to drive stock prices down (and some companies out of business), as well as trading away from major exchanges that retail investors cannot interact with is destroying our faith in the system. The
I request that regulation and enforcement be equal for all stock market participants. It is frustrating to know how many advantages, privileges, and self oversight benefits are granted to institutional investors, market makers and clearance houses. The crimes are no longer speculation. There is public information on repeat offenders and habitual lawbreakers taking the stock market hostage to do
As announced in Regulatory Notice 21-02, FINRA is modifying the convention for rounding the original loan-to-value ratio used in the dissemination of transactions in agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions. This change will become effective on Monday, July 26, 2021. On this
*In response to requests for an extension, the comment period has been extended to February 21, 2023.
Summary
FINRA has begun developing a machine-readable rulebook to assist users to more readily analyze and search FINRA’s rules. As part of this initiative, FINRA is creating an embedded taxonomy (which is a method of classifying and categorizing a hierarchy of key terms and concepts) within
E&J SECURITIES CORP.C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005E. E. POWELL & COMPANY INC.200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 16046E.F. HUTTON & CO. LLC141 ROADRUNNER PARKWAY #141A, SUITE
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
EXECUTIVE SUMMARY
This notice announces the adoption of exemptions from the special suitability and disclosure requirements of Appendix F to Article III, Section 34 of the NASD Rules of Fair Practice for freely tradable limited partnerships. The exemptions relate to primary and secondary public
