Summary
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 25, 2022 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
GUIDANCE
Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013
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IM-3013 (Annual Compliance
and Supervision
To whom this may concern, We the people want you to hold short sellers and hedge funds accountable. There is blatant market manipulation going on which effects millions of people across the globe. The dark pools should be abolished. We need visible transparency in the market for fair and honest practice which is preached but not practiced. The growth in interest of retail investment should be an
May 1999
Internal Testing And Contingency Planning
Internal Testing
No matter the size of your firm—two people, 200, or 20,000-you should be mindful of potential Year 2000 challenges. Internal testing of all systems, especially those that are mission critical, should now be in progress or completed.
For example, stand-alone personal computers (PCs), networked systems, and related software
I honestly have been losing faith in our stock market in general and want to bring integrity back to our markets. If shares aren’t properly reported and have the ability to be manipulated on a mass scale then what’s the point of the every day investor even attempting to do anything?? My comment would be to enforce the law on ALL of us not just some. If naked shorting or selling of stocks they
The cat's out of the bag; retail investors now see and know that hedge funds and big business, in general, are taking advantage of the general public. Excessive and indefinite short-selling to drive stock prices down (and some companies out of business), as well as trading away from major exchanges that retail investors cannot interact with is destroying our faith in the system. The
While short positions is legal and should remain so, predatory shorting that harms American companies, it's consumers, and American investors should be abolished. Greater monitoring of the practice and regulatory enforcement to prevent it from occurring is desperately needed. "Dark Pool" trading in particular is should be illegal and have those that participate in it the subject of
To whom it may concern, Short interest positions should be reported daily. Dark Pool trading should be banned. I can understand the argument for their initial creation, however I do not trust financial giants from misusing the dark pools for price suppression. Payment for order flow should be completely banned. Retail investors should be on an equal playing field as hedge funds and market makers
SR-FINRA-2008-035 - Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to add the Fees Charged for the
Series 14 and Series 16 Examinations
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Variable Contracts
As of November 23, 1998, the following bonds were added to the Fixed
