I notice you are welcoming comments on 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
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Sales Contests and Non-Cash Compensation
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These rules changes seem to be helpful except for the "alternatively" found all over the place. Make all these rules in effect, no alternatives. FINRA should get all the information possible about any financial activity and make as much as possible of that information public. The originator of a short position should be on the hook for the short position. Currently, if a market maker
Last Voting Date: July 16, 1999
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November 1998
Mandatory Testing
On October 5, 1998, the National Association of Securities Dealers, Inc. (NASD®) filed a proposed rule change with the Securities and Exchange Commission (SEC) that would mandate Year 2000 testing for clearing firms, market makers, and government securities firms. The proposed rule also would strongly encourage testing between correspondent clearing firms and
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As of June 20, 1997, the following bonds were added to the Fixed Income
Mortgage-Backed Security (MBS) data provides comprehensive information on mortgage-backed securities (MBSs) that traded within the past 10 years.
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Amortizing securities are debt securities like bonds, but they pay the principal back with each payment rather than upon maturity.
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(1) Parties must use the Party Portal to file initial statements of claim and to file and serve pleadings and any other documents on the Director or any other party except as provided in paragraphs (a)(2) and (a)(3). The Director may exercise authority to permit the use of other means of filing or service in the case of an extended Party Portal outage or in other
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NASD Regulation, Inc. (NASD Regulation) requests comment on proposed amendments to NASD® Conduct Rules 3010 (Supervision) and 3110 (Books and Records) (formerly Article III, Sections 27 and 21 of the NASD
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
