Please do not restrict my rights as an individual to invest in public investments yet allow a privileged class to continue to invest without any restrictions. This is unfair to individual investors. Your assumptions that we are too dumb to understand complex investment strategies is an insult to all American investors. Your regulators are not our parents to make us do special process to invest.
NASD has filed with the SEC a proposed rule change to: (1) amend Schedule A of the NASD By-Laws to sunset the Trading Activity Fee ("TAF") established in SR-NASD-2002-98, terminating on December 31, 2002; and (2) correct language in Section 2 that was mistakenly referenced in SR-NASD-2002-98. NASD is sunsetting the changes made in SR-NASD-2002-98 in response to member comment asserting
<p>A broker/dealer is not required to register as branch offices under Rule 3010(g) non-public office locations where existing customers can use computer terminals to access their accounts and enter orders.<br/></p>
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
<p>Permissible activities of a foreign associate.</p>
We all want fairness in the market. No more rules that protect big money from any culpability when taking advantage of access to market features that retail investors don’t have. Conflicts of interest such as market makers shorting stocks they hold the books for, t-2 settlement dates, 15 day short reports, and most importantly, darkpool order rerouting of retail investor buy orders must be
SSR doesn't work when market makers such as Citadel Securities can still mark a short exempt. Short exempt is supposed to be an exception but every time $amc is on SSR the counts of short exempts is extremely high. Citadel's hedge fund profits from their market maker's ability to short during SSR as do the options contracts held by Citadel Securities. This is an unfair competitive
I have watched the market manipulation since March on this stock. Putting on sell pressure by posting large sell orders and them disappear when they outcome is what they are wanting in the buys side. They are playing with our hard earned money and the playing field is skewed. Orders not being filled and platforms rejecting orders that match the same orders from short sellers. Enough is enough.
• Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
• Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
• Backing Away
• Best Execution—Failure to Comply With Requirements for Best Execution
• ECN Display Rule—Failure to Comply
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
