As algorithmic trading strategies, including high frequency trading (HFT) strategies, have grown more widespread in U.S. securities markets, the potential for these strategies to adversely impact market and firm stability has likewise grown.
FINRA member firms that engage in algorithmic strategies are subject to SEC and FINRA rules governing their trading activities, including FINRA
Day trading refers to a trading strategy where an individual buys and sells (or sells and buys) the same security in a margin account on the same day in an attempt to profit from small movements in the price of the security. FINRA’s margin rule for day trading applies to day trading in any security, including options.
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Internal AuditOperationsSystemsTrading
As of February 22, 1993, the following 44 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,998:
Symbol
Company
Entry Date
SOES Execution Level
PHSV
Physicians Health Svcs, Inc. (Cl A)
1/22/93
1000
CEGE
Cell Genesys, Inc.
1/26/93
500
BSRF
BioSurface Technology, Inc.
1/27/93
Do not regulate or ban these trading options for investors. Investors would lose an edge if these funds were banned.
Restricting the trading of leveraged products will only further distance and favor the already significant institutional edge in the markets over retail investors.
i as a retail investor believe that institutions have for far too long been able to maneuver the market at a whim and arent beholden to the same type of rules as the average investor. in such a world, whales are able to make big (and sometimes) dumb moves and the average investor is handicapped when looking to make informed trades about such moves. Often the data that we are presented is
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Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
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As of August 25, 1995, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
NAE.GA
NorAm Energy
7.500
8/1/00
HRVD.GB
Harvard Indus
11.125
8/
To whom it may concern, Do not take away my right to invest in a leverage and inverse funds nor should you restrict us small investors. You do not restrict the large firm to short stock or inverse funds but you go after the little guy so you give the big large firms the edge to win and beat the little guy. We small investors want to invest and have level playing field. If you really want to make
Ruling of the Committee:
A dealer in an Eastern city leaves a bid or offering with a dealer in a Western city good until the close of the latter's business day. The Western dealer accepts the bid or offering on that day but, due to the difference in time between the two localities, its notice of acceptance is received by the Eastern dealer on the following day.
In the opinion of the
