INFORMATIONAL
Investment Companies And Variable Contracts
Effective Date: April 1, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Training
Variable Contracts
Investment Companies
INFORMATIONAL
SEC Interpretive Guidance
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Trading & Market Making
Blank Check Companies
Freely Tradeable Securities
Executive Summary
A unit of the NASD Regulation, Inc. (NASD RegulationSM) Market
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Zero transparency. Inaccurately reporting from short. Naked shorts and complacent rule makers. Unfair dark pool usage. Abusive shorting and dark pool manipulation. Naked calls and married puts. HIDING FTDs in ITM options. Labelling shorts as long. Distraction plays and spoofing/layering by ALL hedgefunds, money makers. Algorthmic and high frequency trading. The short interest is self reported and
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Section 15 of the NASD Rules of Fair Practice. The amendments would exempt certain bulk exchanges of money market mutual funds utilizing
SUGGESTED ROUTING:*
Senior ManagementOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD has filed an amendment to Section 13 of Schedule A to the NASD By-Laws with the Securities and Exchange Commission relating to the NASD's service charge for reviewing advertisements, sales literature, and other similar material.
1) Market maker cannot run their hedge funds : They have huge conflict of interest in their actions as market maker. 2) Mandatory short interest and long interest on weekly basis 3)US to adopt a settlement discipline regime (like EU's CSDR), which would reverse failed trades and suspend market participants who repeatedly fail to deliver shares sold 4) Acting on current rules diligently. 5)
More frequent public reporting of short positions is needed, more detail in public reports, and more transparency for the retail investor. The markets have become a corrupt and lopsided playing field that caters to big money and leaves the retail investor at a decided disadvantage. Hedge funds play by a different set of rules, and then get slapped on the wrist for the kinds of illegal activities
(a) Documents to be Available for Inspection and Copying
(1) Unless otherwise provided by this Rule, or by order of the Hearing Officer, the Department of Enforcement shall make available for inspection and copying by any Respondent, Documents prepared or obtained by Interested FINRA Staff in connection with the investigation that led to the institution of proceedings. Such Documents
The Neutral Corner - Volume 3—2023
