The Neutral Corner—Volume 4, 2021
It is unfortunate that the system must be an "US vs THEM" system, especially when they don't have to play by the same rules that we, the little guy, the 99%, the "dumb money", the "retail investor, has to follow. Things I would like to see changed: -- There needs to be more transparency. We need to be able to see the shorts. We need to see the FTDs. Short positions
In regards to regulatory notice 21-19 regarding short positions... In my opinion, the current US financial system is highly fraudulent, with the regulatory agencies being complicit. They are complicit by complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehanna being allowed to happen with impunity. The SEC and
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Options Position and Exercise Limits
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KEY TOPICS
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Exercise Limits
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Rule 2860
Executive Summary
The Neutral Corner—Volume 3, 2020
Mission Statement
Maintaining Arbitrator Neutrality in the Age of Social Media (by Joyce Park, FINRA Corporate Intern)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Hearing Postponements and Virtual Hearings
Virtual Arbitration Hearing Statistics
Arbitration Case Filings and Trends
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Portal Enhancement: New
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Fingerprinting Procedures
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Registration
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Fingerprinting
Executive Summary
NASD is issuing this Notice to Members to remind members to review and, as necessary, update their fingerprinting procedures to help ensure that fingerprints
Neutral Corner - February 2008
Member may not present related performance information to "qualified institutional buyers" who are potential investors in 3(c)(1) funds.
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
March 2022 Options Disclosure Document
