I would like to point out two proposals that I absolutely think must be accepted. The others are still very good to increase accountability and reestablish some semblance of trust. "Synthetic Short Positions: In addition, FINRA is considering requiring firms to reflect synthetic short positions in short interest reports. For example, enhanced short interest reporting could include synthetic
Thank you for expressing your concern on the matter. It is truly disheartening reading the available information and watch the market entirely disregard such within some securities. Also concerning is “entities” such as Iceberg research Twitter handle and their proclamation to the world which was broadcast through news outlets shortly after being tweeted. Many individuals observed and confirmed
Hi I grew up in the late 70s 80s and 90s. Graduated college in 2001 after a 2 year break between high school and college. I got a degree in Environmental Science. Its worthless. How are those California wildfires going, oh and more like Hoover Dayum. Am I right? Who needs water in a desert.. seriously. We went to war with 2 of the wrong countries and the economy tanked more than once. Great
I am losing faith in the Regulations governing the Securities Market! As a retail investor I believe that the provably widespread practice of naked shorting dilutes the share pool of companies that I believe in which artificially lowers stock prices. It is a method that predatory short hedge funds use to drive stock prices down, rather than allowing the market to engage in true price discovery.
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of June 12, 1991, the following 38 issues joined Nasdaq/NMS, bringing the total number of issues to 2,560:
Symbol
Company
Entry Date
SOES Execution Level
OWWH
OW Office Warehouse, Inc.
5/15/91
500
DNKG
Danek Group, Inc.
5/17/91
1000
While I understand that this RFC is for members to provide feedback, I would like to provide some general comments as an individual investor who makes extensive use of geared ETFs. Accordingly, most of my comments are "geared" towards them (sorry, had to!). For your consideration:
1. There is no relationship or similarity between the various products outlined in this RFC.
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystems
Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing System (FIPS) for members trading high-yield bonds. Initially, 35 bonds were designated as FIPS issues requiring quotation entry by brokers and dealers. The
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market System (Nasdaq/NMS) securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq/NMS
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Operations
Options
Systems
Trading
Effective November 13, 1995, tier sizes for 900 Nasdaq National Market® securities will be revised in accordance with paragraph 245 Ia7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
Under the SOES Rules, the maximum SOES order size for a
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 5, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws. The amendments would require controlling persons of a firm liquidated under the Securities Investor Protection Act of 1970 (SIPA) to undergo eligibility proceedings pursuant to the
