TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional five securities will join the NASDAQ National Market System on Tuesday, August 7, 1984. These securities have met the NMS mandatory designation requirements as of the end of the second quarter and, as required by SEC Rule HAa2-l, automatically are added to the National Market System within 45 days of the quarter ending date.
Beginning May 15, 2023, the following FINRA TRACE rules changes will take effect:
Members must report transactions in TRACE-eligible Corporate debt securities which are part of a portfolio trade with an appropriate modifier. The Sale Condition 4 modifier, available via the TRAQS secure web browser and the TRACE FIX protocol (Tag 22004), will be available for this designation, as described in
do something about naked short selling instead of ignoring it. the reputation of the market is being harmed, and millions of new retail investors are watching. do something about the same handful of institutions trading the same shares back and forth millions of times every month to manipulate the market and steal from retail investors. publicly report when institutions are margin called. audit
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,
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to reflect a change in the functionality of the NASD/NYSE Trade Reporting Facility (the "NASD/NYSE TRF") to permit participants to submit trades to the NASD/NYSE TRF for submission to
NASD has filed with the SEC a proposed rule change for a program to conduct fingerprint-based background checks of NASD employees and independent contractors in the State of New York ("New York State") and, as business need may dictate, a program to conduct fingerprint-based background checks of NASD employees and independent contractors outside of New York State.
Hello,
Hope you are well! I understand your reluctance, but I desperately need access to leveraged indices, and triple leveraged indices, understanding full well that there's a massive risk involved. It's something that I'm fully aware of. I truly need this to secure my near term and long term futures, if you remove my access now, it will destroy my ability to retire
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 4 of Schedule A to the FINRA By-Laws to: (1) revise the fee for the Regulatory Element of continuing education (“CE”); (2) establish the fee for individuals who elect to maintain their qualification following the termination
Digital data doesn't require days to locate. Short interest and FTD data is able to and should be reported daily. The varying T+ cycles have proven to work in the favor of Funds that make their money shorting companies out of existence, by allowing them to be wildly over-leveraged in their positions and also creating opportunity to take advantage of methods like naked short selling. If the
Finra should absolutely adopt all of the above changes. Any regulation that can be added for transparency in a free market should be added. All of this information should be reported daily and available to everyone to install confidence in a free market system. Above and beyond this, accountability for failure to comply should come with harsher penalties then small fines that can be incurred as a
