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
For Your Information
National Association of Securities Dealers, Inc.
January 1989
Toll-Free Numbers for New York NASDAQ Operations Center Take Effect Soon
With the opening of business on January 9, 1989, the New York NASDAQ Operations Center may be reached via toll-free 800 service from all locations.
Effective January 9, 1989, the new numbers are:
For SOES operations information (e.g.,
The Neutral Corner - Volume 3—2018
Mission Statement
Special Proceeding for Simplified Arbitration
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal News
Use the Most Current Version of Scripts and Forms
Tenth Annual Securities Dispute Resolution Triathlon (October 13 – 14, 2018)
2018 Demographic Survey
New York State Bar
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Registration
Trading
Training
Executive Summary
The Securities and Exchange Commission (SEC) recently approved amendments to the National Association of Securities Dealers, Inc. (NASD®)
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
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to its rules, to Schedule D to the NASD By-Laws, and to the NASD's Transaction Reporting Plan, which will have the effect of: (1) requiring NASDAQ/NMS companies to comply with certain standards of corporate governance; (2) moving NASDAQ/NMS designation criteria
It is in the best interest of all participants invested in the stock market to have potentially influential information when making important, calculated, and delicate financial decisions. With additions made to FINRA's short sale reporting program, specifically the procedures as instructed by Rule 4560, a gob of data can capture the eyes of all investors to help make better informed
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Executive Summary
This Notice is to remind firms that registered persons whose registrations become inactive as defined in Rule 1120 of the National Association of Securities Dealers, Inc. (NASD®) Membership and Registration Rules (Continuing Education Requirements), and who
February 10, 2004
NASD member firms may contractually arrange for another member firm or non-member entity to transmit order events to OATS on their behalf. Such arrangements must clearly specify the responsibilities of each party with respect to OATS reporting.
As required under NASD Rule 6955(c), Reporting Members using a third party to record and transmit their OATS data must have a
