i as a retail investor believe that institutions have for far too long been able to maneuver the market at a whim and arent beholden to the same type of rules as the average investor. in such a world, whales are able to make big (and sometimes) dumb moves and the average investor is handicapped when looking to make informed trades about such moves. Often the data that we are presented is
Short Sale Rule should be changed to state that if a stock is shorted ten percent from the previous day's close,, NO shorting is allowed from that moment until the end of the next trading day. It is rediculous to allow shorting at all beyond that ten percent mark as it solely benefits the wealthy institutions who can afford to continue to drive a price down when retail investors are buying
Effective Date: Jan. 1, 2024The Financial Industry Regulatory Authority, Inc. ("FINRA") develops and licenses financial services industry-related materials and courses (“CE Licensed Product(s)”) that are made available through FINRA’s online platform (“FinPro”). The use of the CE Licensed Product(s) is conditioned upon the acceptance by you (“End User”), without modification, of these
FINRA provides real-time market trade information for Corporate and Agency bonds, Securitized Products (ABS, CMO, MBS, TBA) and Private Placement (144A) bonds including execution date and time, quantity, price, and yield as reported to TRACE (Trade Reporting And Compliance Engine). Since the bond market is less liquid than most markets for stocks, there may be no trade activity
Are you looking beyond a traditional savings account to begin to invest in stocks, bonds or funds? Perhaps you’re looking for someone to help develop a road map for your financial future. These and other situations might make you consider contacting an investment professional.
While we all hope our marriages will be successful, sometimes life just doesn’t go as planned. Consider these 6 important tips about divorce and your investments.
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Registration
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III, Section
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Department of Treasury recently finalized two amendments to the Bank Secrecy Act (the Act) regulations. One amendment adds a definition of "structuring" to the anti-structuring provision, which prohibits
SUGGESTED ROUTING*
Senior ManagementInstitutional Legal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES or SOES Rules) proposed by the NASD to
