REQUEST FOR COMMENT
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Research
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Operations
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
NASD has received multiple requests to broaden the provision of
previously non-public historic
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1010 (Electronic Filing Requirements for Uniform Forms) to permit firms to file a Form U4 (Uniform Application for Securities Industry Registration or Transfer) based on an electronically signed copy of the form.  
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
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Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of November 20, 1995, the following 76 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,946:
Symbol
Company
Entry Date
SOES Execution Level
ARGL
Argyle Television, Inc. (Cl A)
10/24/95
1000
ETEC
Etec
As a small retail investor it is obvious that shorting has become a way to rig the game against the retail investor and against companies vying for survival. This practice of shorting and the illegal practice of naked short selling makes our financial system look like a stool with three legs…. Not very stable. If we don’t fix the glaring problems in this system where the scale is so clearly
1. Disciplinary sanctions should be designed to protect the investing public by deterring misconduct and upholding high standards of business conduct.
The purpose of FINRA's disciplinary process is to protect the investing public, support and improve the overall business standards in the securities industry, and decrease the likelihood of recurrence of misconduct by the disciplined
It's not fair. I, as a retail investor, am scared to put money in the market. Fear of the big corrupt organizations like Citadel are probably why people are putting more money into homes and things. All of my friends don't trust the market either. We've all been hurt. The only way to not get hurt is to buy something you trust and leave it long term. These short sellers manipulate
FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day, raising the level of transparency in the market for these benchmark securities.
Short interest reporting needs to be completely overhauled if we want to stay the leading market in the financial world. The current self reporting approach is laughable, and the fines for "misreporting", or what I would call lying and stealing, are a cost of doing business instead of a punishment. We have the technology to track short positions like Japan is doing with Blockchain which
Please put these new rules in place. We need transparency in our markets, especially with regard to short selling and dark pool activity. Naked shorting, short ladder attacks, spoofing, as well as online intimidation is taking place on stocks like AMC and many others for that matter and it just isn’t fair to the American people. Prime brokers like Citadel should not be permitted to reroute retail
