We need more transparency in the market. We, as retail investors are kept in the dark when it comes to the "free market" while hedge funds blatantly manipulate positions using illegal trading activity. The SEC and all the regulators need to enforce the new laws that have been put into place and quit letting manipulation happen why they take handouts from these financial crooks. So in
The reporting of shorts and especially synthetic shorts have been overlooked for a very long time, because of this I absolutely believe this will benefit every single investor. These rules should be implemented and require daily reporting to the public by the firms FINRA regulates. I sincerely hope that FINRA implements and enforces these rules as the confidence in the state of todays stock
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend Form CMA (Continuing Membership Application Form) required under Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to conform to amendments to the Membership Application Program (“MAP
ATS Supervision Obligations
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
FINRA Rule 2020
FINRA Rule 3110
FINRA Rule 4370
FINRA Rule 5210
FINRA Rule 6190
FINRA Rule 6191
Regulatory Notice 14-10
Regulatory Notice 17-22
SEA Rule 15c3-5
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed changes to the Private Placement Filer Form (“Filer Form”) that members complete when submitting private placement filings under FINRA Rules 5122 (Private Placements of Securities Issued by Members) or 5123 (Private Placements of Securities).
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Senior Management
Corporate Finance
Institutional
Legal & Compliance
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As of March 29, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
RHLD.GA
RHI Holdings
11.875
3/1/99
CWL.GA
Chartwell
10
Hi, Please solve all the [REDACTED] regarding naked short sales, darkpools, FTD's, short ladder attacks, marketmakes and hedgefunds beeing owned by the same entities and so on. There needs to be proper punishment not just a slap on the wrist 12 years later with a fine that represents lunch money. The entirety of the US financial system is being dragged through the mud, the trust, reliability
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 21, 1986, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,602. These 12 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of its rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“
