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At FINRA, our mission is to protect investors and promote market integrity. Our employees are passionate about this commitment, and it's one of the strongest ties that connect our current and former
In December of 2002, the Securities and Exchange Commission (SEC), New York Attorney General, the North American Securities Administrators Association (NASAA), the New York Stock Exchange (NYSE), and NASD reached an agreement in principle with ten of the nation's largest investment banks to resolve issues of conflicts of interest involving research analysis and initial public offerings (IPOs).
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(a) DefinitionsFor purposes of this Rule, the following terms shall have the meanings specified below:(1) The term "basket" shall mean a group of stocks that FINRA or any national securities exchange designates as eligible for execution in a single trade through its trading facilities and that consists of stocks whose inclusion and relative
TO: All NASD Members and NASDAQ Level 2 and 3 Subscribers
On February 8, 1983, 100 additional NASDAQ securities will enter the NASDAQ National Market System (NMS). As a result, real-time trade reporting will be required in these securities commencing on that date.
Of these securities, 50 met the Tier 1 criteria as stated in SEC Rule HAa2-l as of the December 31, 1982, qualification date and,
I am just simply fed up with this incredible UNFAIR "FREE" market. As a retail investor for the better part of the year I began investing with the tolerance to idly stand by as positions where I have stake have been very clearly manipulated. No longer will I be a silent bystander because after the last few weeks I have seen it is very apparent to me that these problems run deeper. I
Eliminate dark pools Fines should be greater than the profit hedge made from the illegal activity Jail time is needed for market manipulation. Short positions should be forcibly closed out if illegal market manipulation is found and trading rights of those involved should be revoked. Shorting taking place in the dark pool needs to be disclosed to the public. If an institution buys shares in the
What implementation period would be appropriate to provide members with sufficient time to make the systems changes necessary to comply with this requirement? Change needs to happen as soon as possible, immediately to restore faith in the markets. To make these crooked markets somewhat fair to retail investors. FINRA is considering whether daily or weekly short interest position reporting would
Hello FINRA, 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 Susquehana being allowed to happen
Leveraged ETF/ETNs pose risks that some retail investors do not understand. As such, broker-dealers should conduct due diligence before allowing customers to purchase Leveraged ETFs. However, such due diligence should be similar to that of mid-level options trading authority. My advisory firm is in the process of launching a hedge fund which utilizes Leveraged ETFs as a part of a risk-managed
information needs to be accurately and timely reported-- period. That information is lagging is a joke-- that people charge to provide this lagging information is shameful. There should be no platform one has over another. That there is-- is evidence money buys influence -- this is a country of laws.. unless it is in the financial world. The markets are a free for all for those that control,
