Comment Period Expires: November 30, 1998
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A NASD member firm that is a proprietary trader and does not make markets is required to report orders in Nasdaq securities in compliance with OATS Rules 6951 through 6957.<br/>
The use of a member name without the corporate modifier “L.L.C.” on certain materials adequately denotes the name of the member and would not violate the requirement of NASD Rule 2210 (f)(2) to include a member name.
I apologize for the undoubtedly large number of submissions you are likely receiving from those simply looking to vent rather than actually comment on the specific matters in this notice. The scope of volume seen in trading is absolutely daunting, and I think the first question that should be asked regarding any information being collected is whether it is purely self-reported, or if there is
In light of the ongoing challenges presented by the COVID-19 pandemic, FINRA recently launched an online testing service for candidates seeking to take qualification exams remotely.
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MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed changes to Schedule E that would require compliance with its provisions if a member participating in a distribution of a public offering of
Short selling is legal, fair, and a proper tool to use in the markets to bring down the price of an over-valued security. Why does it feel like institutions have so much power over retail? Why does it feel like I am going up against massive opponents that refuse to lose? Why do they get away with criminal activity to avoid billions in losses to only pay regulators millions in fines? It's
Good day, In response to your request, I know a small part of the issue is the shorting problem of stocks. While I support more immediate reporting requirements the issue is naked shorting as well as mislabeling the short as Long's, using the dark market to manipulate the pricing of stocks, Synthetic shares being created for price manipulation, and other shorting issues being used by market
1 This paper is not intended to express any legal position and does not create any new requirements or suggest any change in any existing regulatory obligations, nor does it provide relief from any regulatory obligations. While this paper summarizes key findings from FINRA’s outreach and research on the use of cloud computing in the securities industry, it does not
FINRA shares an annual snapshot of some of the data collected in the course of its work to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals.
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Data Description
The FINRA Industry Snapshot provides a high-level overview of the industry, ranging from the number of FINRA-registered individuals to the
