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Securities markets and the NASDAQ System will be closed on Monday, February 20, 1989, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be subject
Effective December 13, 2007, "Derivative-Related Transactions" are exempt from the TRACE reporting requirements.
TO: All NASD Members and Municipal Securities Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, February 15, 1988, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below. The NASDAQ System and the banks in New York State
Last Updated: March 11, 2024Dispute Resolution Services (DRS) is publishing this guidance to remind parties and their representatives, arbitrators, and mediators that the unauthorized disclosure of a Suspicious Activity Report (SAR) is a violation of federal law that may be punishable by civil and criminal penalties. As described in greater detail below, three categories of “SAR Information”—SARs
TO: All NASD Members and Municipal Securities Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, February 16, 1987, in observance of Presidents' Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
The NASDAQ System and the banks in New York State
TO: All NASD Members and Municipal Securities Dealers
ATTN: All Operational Personnel
Securities markets and the NASDAQ System will be closed on Monday, February 17, 1986, in observance of Presidents' Day. "Regular-way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
The NASDAQ System and the banks in New York State
Dear Sirs- I have been successfully using leveraged ETF's that follow a multiple of either the S&P500, The Dow, and the NASDQ to bolster my investment portfolio, together with bell shaped conservative funds, using a diversified mix of funds. I am an aggressive investor. I have had success with a 10 or 15% mix of 2x and 3x bull market etf's. I have found the S&
INFORMATIONAL
Decimalization
Survey Deadline: July 28, 2000
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Decimalization
Executive Summary
In response to the Securities and Exchange Commission (SEC) Order requiring a decimalization "phase-in" plan, the
To Whom it May Concern: I believe institutions such as Citadel and Melvin need to stop manipulating the market by illegal tactics. Strict enforcement needs to take place when these companies violate the rules regarding synthetic shares and FTD's. Fines of 10k are merely a slap on the wrist for these companies. The amount of money that these companies have would be like a 1 cent fine in ratio
Having been a retail investor for over two decades, I only recently discovered the extent of market manipulation really going on behind the scenes. I applaud your organization's proposed changes. Specifically I believe the markets would benefit from public dissemination, in real time, the short positions, dark pool flow, and FTD's. I personally would go further, requiring a responsible