SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
The rules around Failure to delivers (on short selling) for larger organizations (namely citadel securities and others), is giving them a way out to continue to drag down companies and squeeze out retail investors. The market does not function the way it should with the hand tipped to the market maker. The market maker is also the one funding the media outlets, may own assets in 'educational
GUIDANCE
Corporate Debt Securities
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KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Dissemination of Transaction
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Rule 6200 Series
TO: All NASD Members and Other Interested Persons
On May 31, 1983, the Securities and Exchange Commission ("SEC") approved an amendment to the Association's rules rescinding the Policy of the Board of Governors — Venture Capital and Other Investments by Broker/Dealers Prior to Public Offerings ("Venture Capital Policy"). Simultaneously, the SEC approved an amendment to
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
News reports stating that FINRA has approved a security for trading, quoting or listing are wrong in virtually every respect. FINRA does not ever qualitatively evaluate or approve a security such as a stock. Instead, FINRA verifies a broker-dealer can demonstrate it has completed its required diligence to begin quoting.
In June 2007, FINRA (then NASD and NYSE Member Regulation)1 issued for comment proposed guidance regarding the review and supervision of electronic communications. FINRA received 16 comment letters, with a majority of commenters supporting the guidance.
TO: All NASD Members and Level 2 and Level 3 Subscribers
Three additional securities will join the NASDAQ National Market System on Tuesday, November 13, 1984. These three securities have met the NASDAQ/NMS mandatory designation requirements as of the end of the third quarter and, as required by SEC Rule HAa2-l, automatically are added to NASDAQ/NMS within 45 days of the quarter ending date.
The
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL FINANCIAL AND OPERATIONAL OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
In NASD Notice to Members 81-12, the Association advised the membership of the SEC's Division of Market Regulation interpretation concerning the treatment of concessions receivable and related commissions payable under the Uniform Net Capital Rule (SEC
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 4, 1985, 23 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,998. These issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
