Short interest, shares on loan, order flow data/routing, and all other information available to institutional investors should be available to other market participants to promote true market equality. The same sentiment holds true for the timeliness in the availability of reporting data. The current market structure fails to protect self-directed investors from market manipulation and fraudulent
1. Buy orders vs sell orders buy orders show more inflow and the price drops. 2. Naked shorting, synthetic shares. With amc the CEO gave good information about share holders and the amount per stock holder on average. This number does not add up with the volume of buy and sell orders. 3. It's a simple supply demand the supply is small and demand high. How can the price constantly dropping if
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
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Executive Summary
The Securities and Exchange Commission (SEC) recently published for comment amendments to Rule 10b-10 and a proposed new rule, Rule 15c2-13, under the Securities Exchange Act of 1934. The proposed amendments
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OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
BACKGROUND
On April 18, 1983, the Securities and Exchange Commission issued Release No. 34-19687 announcing the adoption of changes to Rule 10b-10 under the Securities Exchange Act of 1934 (17 CFR 240 lOb-10), the "securities confirmation rule," (the "Rule"). Rule 10b-10 requires broker-dealers to send
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Rule 2711
Executive Summary
NASD has filed for immediate effectiveness a proposed rule change
to codify certain
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2024.
(a) Member Application Process
(1) Definitions
(A) "Associated Person"
Solely for purposes of paragraph (a) of this Rule, the term "associated person" means any: (1) sole proprietor, partner, officer, director or manager of a funding portal, or other natural person occupying a similar status or performing similar functions; (2) natural person directly
