I would like to see a more transparent market with instant short position reporting to the general public. I would also like to see instant reporting of any failure-to-delivers. I would like to know the volume from each market even the dark pools to understand the price change. I think this information should be public to any retail investor instantly and easily with no delays. I believe this
It amazes me that citadel can control market orders from Robin Hood. They can see real-time information and use it to control stock prices giving an unfair advantage to retailer investors! They can direct sell orders through the exchange but can place by orders through the dark pool! I strongly disagree that the dark pool should be eliminated but highly encourage all retailer investors’ orders go
To whom it may concern: I have grave concerns that the goals of the 21-19 rule change have too many loopholes and will not meet the stated goals of the effort. In fact, FINRA's minimal efforts at preventing ongoing FTD violations and options and swaps manipulation that circumvents REG SHO and T+2 requirements has led me to believe that FINRA is unable to be trusted as a Self-regulating
Preliminary Note: The requirements of this Rule are in addition to other existing member obligations under FINRA rules and the federal securities laws, including obligations to determine suitability of particular securities transactions with customers and to have a reasonable basis for any recommendation made to a customer. This Rule is not intended to act or operate as a presumption or as a
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
SEC REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has proposed Rule 15c2-6 to address fraudulent, deceptive, or manipulative acts and practices used in connection with high-pressure telephone
FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 of the
Understanding Your FINRA Flex-Funding Account
Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot
WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This year’s edition adds new data about options trading activity, and
