As an AMC GME APE I demand market transparency! Same day reporting is doable with the technology. End PFOF and Ban Dark Pools! Citadel Securities Scandal CEO Ken Griffin should be arrested immediately ORTEX should be releasing information to the public for free Enforce the rules that you already have in order SEC Rule 304(a) (4): Suspension, Limitation, or Revocation to the Exchange Link to rule
Who are you to make such regulations? It is none of your business how I invest MY MONEY. You were not elected by me, the people. I probably understand inverse/leveraged investment products better than you. Our country and economy would be much better off if you resigned your government (aka. Unproductive) job, returned your salary to hard working tax payers and secure a job in the private sector
Below are the zipped daily files of the Structured Product Activity Report and the Structured Product Pricing Tables. The zipped files will be available on the 1st business day of the month for the preceding months reports.
For additional information regarding the available reports, please contact TRACE Data Services at (888) 507-3665.
The SEC has
SR-FINRA-2018-013 - Approval Order
a proposed rule change to establish a new FINRA Trade Reporting Facility in conjunction with Nasdaq (the FINRA/Nasdaq TRF Chicago). The FINRA/Nasdaq TRF Chicago provides FINRA members with another mechanism for reporting over-the-counter trades in NMS stocks and complying with FINRA’s requirements with respect to back-
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
Proposed Consolidated FINRA Rules Governing Books and Records Requirements; Comment Period Expires: June 13, 2008
October 21, 2002OATS recently added a Special Handling Code, "TS", for a Trailing Stop Order. For the purposes of OATS reporting, a Trailing Stop Order is defined as follows: In the case of a sell order, a Trailing Stop Order allows the stop price to increase by a predetermined amount or formula (e.g., a specified dollar amount, a percentage of the market price, or some other
September 26, 1995;
Executive Summary
On September 8, 1995, the Securities and Exchange Commission (SEC) approved a new rule under Article III, Section 50 of the Rules of Fair Practice (Rules) for reporting customer complaint information and other specified events to the NASD. The new rule requires members to report to the NASD the occurrence of 10 specified events and quarterly summary
SUGGESTED ROUTING*Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARYOn April 13, 1989, significant amendments to Article III, Section 27 of the NASD Rules of Fair Practice will take effect. This notice sets forth, in question and answer format, certain guidelines for compliance with the
SummaryThe purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.A formal notice of the NAC election and ballot
