(a) When and How Transactions are Reported(1) Transaction Reporting During Normal Market HoursMembers shall, as soon as practicable but no later than 10 seconds after execution, transmit to the ADF, or if the ADF is unavailable due to system or transmission failure, by telephone, facsimile or e-mail to FINRA Market Operations, last sale reports of transactions in ADF-eligible securities executed
The Neutral Workshops provide practicing arbitrators and mediators with updates on developments within FINRA's dispute resolution program. They provide information about the latest proposed rule changes, procedures, recent Regulatory Notices as well as best practice tips.
Effective: November 16, 1998
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Senior Management
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Executive Summary
On August 26, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rule 2210 to require that written or electronic communications
For far too long the stock market has been tilted/manipulated in favor of Wall Street. The issue is naked short selling. Despite being made illegal after the 2008–2009 financial crisis, naked shorting continues to happen because of loopholes in rules and discrepancies between paper and electronic trading systems. More often than you think great companies such as Clover Health. Clover Health was
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Senior ManagementGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Fairness of markups and markdowns charged by members in principal equity transactions with customers has become an increasingly important
The TRACE Treasury Aggregate Statistics provides trading volume in U.S. Treasury securities reported to TRACE for the prior day, week or month. The weekly format was discontinued as of February 2023; weekly format history is available.
Data is updated weekly with the start of the week identified as a Monday. Treasury bond data is aggregated by security subtype: Bills, Floating Rate
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
To Whom it May Concern: I believe institutions such as Citadel and Melvin need to stop manipulating the market by illegal tactics. Strict enforcement needs to take place when these companies violate the rules regarding synthetic shares and FTD's. Fines of 10k are merely a slap on the wrist for these companies. The amount of money that these companies have would be like a 1 cent fine in ratio
Having been a retail investor for over two decades, I only recently discovered the extent of market manipulation really going on behind the scenes. I applaud your organization's proposed changes. Specifically I believe the markets would benefit from public dissemination, in real time, the short positions, dark pool flow, and FTD's. I personally would go further, requiring a responsible
