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December 17, 2004On November 24, 2004 NASDAQ issued a letter to ACES subscribers concerning translation issues in ACES that result in the routing and receiving firms reporting different OATS Routed Order IDs to OATS. NASDAQ's proposed short-term solution is for both routing and receiving firms to remove the spaces between the Branch and Sequence number when reporting the Routed Order ID to
The Plan provides for a market-wide limit up and limit down (LULD) mechanism to prevent trades in NMS stocks from occurring outside of specified price bands, coupled with trading pauses to accommodate more fundamental price moves. The Plan is designed, among other things, to protect investors and promote fair and orderly markets.
I like having the ability to invest in leveraged funds. I do not want this option taken away, or limited by some gate-keeper that gets to decide what I do with my money.
These are calculated risks I take and provides me choices for high growth.
I understand that we're trying to protect uninformed people, but you can't solve this by showing people pages of text before they trade
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Sec. 1. The Corporation shall prepare an estimate of the funds necessary to defray reasonable expenses of administration in carrying on the work of the Corporation each fiscal year, and on the basis of such estimate, shall fix and levy the amount of admission fees, dues, assessments, and other charges to be paid by the members and issuers and any other persons using any facility or system which
Hello,
I have some concern regarding the FINRA regulatory Notice #22-08. Imposing such regulation on public traded securities is not only harmful but unprecedented. I think most of the retail market can agree that it is an investors right to freely access the entirety of the public securities markets
without arbitrary restrictions is a basic entitlement. Especially with the current state of the
Regulatory Obligations and Related Considerations
Regulatory Obligations
Under the financial responsibility rules, and related supervisory obligations, firms need to properly capture, measure, aggregate, manage and report credit risk, including risk exposures that may not be readily apparent. Such responsibility can be incurred under clearing arrangements, prime brokerage arrangements (
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
Midwest Region Committee, District 4 representative
Midwest Region Committee, District 8 representative
North Region Committee, District 9
I am a new retail investor. I hold GME and AMC stocks not only as a way to gain financial freedom, but also as a way to protest market manipulation and shed a light on corruption in Wallstreet. After learning about the blatant manipulation that is happening in the market, I have grown increasingly passionate about fighting for a free and fair market for all. I have witnessed the hedge funds
FINRA Changes the Effective Date for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012