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Executive Summary
On April 18, 1997, the National Association of Securities Dealers, Inc. (NASD®) proposed to the Securitiesand Exchange Commission (SEC or Commission) SR-NASD- 97-28, a rule filing containing
Good morning, welcome to Baltimore, and thank you for attending the FINRA annual conference. It’s nice to see so many familiar faces here today.
On November 8, FINRA, Deloitte and the MIT Fintech Club kicked off an innovative event aimed at leveraging fintech in service of making investors smarter and safer. The Buildathon paired industry technologists and compliance leaders with high performing technology students from MIT, Harvard and other Boston institutions for a hackathon-style competition. Teams competed in one of four challenge
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Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On February 24, 1992, the United States District Court for the District of Kansas appointed the Securities Investor Protection Corporation (SIPC) trustee for:
Hyer, Bickson & Hinson8900 State Line, Suite
I am a financial professional. I used to work for market dealer and I was not allowed to trade options. Leveraged ETFs gave me the opportunity to get some leverage and get a piece of the returns reserved only for big players like Hedge funds and Investment banks. I started trading options after I left the broker dealer. I was fully educated and knowledgeable of how to manage risk. Good market
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Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
The NASD® published the following Notices to Members during 1993. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is
Do not restrict my ability to choose the public investments that I decide to buy/sell. I have been investing for over 30 years and am completely capable of making my own choices without the help of a registered broker. I use both leveraged and inverse funds when I deem them advantageous to my investing plan. I know how to place stops, sell, etc when I do not want them in my portfolio. I have the
On this issues presented, my comments are: Short Interest Positions: I feel that short interest positions should be reported as all other positions are reported. There are videos of former hedge fund managers(Jim Cramer) admitting that psychological manipulation and misinformation are essential tools for a hedge fund to create narratives in the media for the purpose of manipulating a stock.
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If want all information about short interest exposed for public to see Honestly we the Americans and rest of the world are tired...we want and need prooer regualtion of the stock market..everyday stock.is open we seeing manipulation . Everyday the retailer os always bag holder... You finra and sec need cut that bs of fines..that shit never works..we.want see pple go to jail...all this wealthy
