I'm 10-15 years from retirement as a senior business systems analyst for over 25 years, with an M.B.A. and B.S. Psychology (thus, understand stats, metrics, patterns, cause & effect), who's spent the past 5 years studying financial markets and investing research, primarily so that I can retire sooner or better, but also to better understand economics, markets and business.
Understanding the benefits and risks of various types of orders can help you avoid unintended losses and better ensure your trades are executed in a timely manner and at a price with which you are comfortable.
While these increased reporting requirements around the currently broadly abused short selling practices in the stock market (including naked shorting, mis-reporting longs as shorts, re-hypothecated shares, married puts/calls, and fails to deliver) are a step in the right direction, the proposed changes do not go far enough to provide transparency and fairness to the public. Please consider
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1992-93 NASD® broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the renewal process through the payment of one invoice amount that will include fees for
INFORMATIONAL
Ex-Dividend Dates
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
Ex-Dividend Dates
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Uniform Practice Code (UPC) governs, among other things, the designation of "ex-dividend dates" (
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1991-92 NASD broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the renewal process through the payment of one invoice amount that will include fees for
Anything that could be done to increase simplicity in the rule book would be a huge benefit to the market. I AM NOT SAYING TO DECREASE REGULATION: I am advocating for an increase of regulation with incredibly simple language so that it is accessible to anyone. OVERSIGHT AND TRANSPARENCY SHOULD BE THE UTMOST AND ULTIMATE PARADIGM. Increase transparency on all positions, real and synthetic, long,
It is incredibly important to have a financial system be transparent, secure, and fair. I believe that this proposal aids in the effort to produce a more transparent go coal system. Many new investors will be put off from investing in the stock market without these transparency rules. Many people, myself included, see the current system as unbalanced and rife with the exploitation of retail
Last Voting Date: September 27,
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Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining
Executive Summary
The NASD® invites members to vote on a proposed amendment to the Corporate Financing Rule under Article III, Section 44 of the Rules of Fair Practice that is intended to prohibit certain anti-dilution provisions of options, warrants, or
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved new Section 43 to Article III of the NASD Rules of Fair Practice. The new section prohibits all persons associated with a member in any registered capacity from accepting employment or
