Displaying 5291 - 5300 of 9026 Results
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, September 17, 1985, 21 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/ NMS to 2,118. These 21 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
Firm Owner Sanctioned for Failing to Supervise Two Registered Representatives
WASHINGTON — FINRA announced today that it has ordered New Jersey-based broker-dealer Buckman, Buckman & Reid, Inc. (BBR) to pay approximately $205,000 in restitution to seven customers for failing to reasonably supervise two former registered representatives who recommended excessive and unsuitable trades in
Reading a brokerage statement might not qualify as one of life's more exciting experiences, but it's critical to smart money management. If you don’t read and understand your brokerage statement, you might not spot mistakes or even outright fraud that can be hidden in plain sight.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
When will this outrageous naked short selling of the Hedge Funds stop? We have such a corrupt system; who will be brave enough to put an end to this madness? The Hedge Funds are no different than the men and women behind “bars,” the only difference is the Hedge Funds are allowed to get away with their crime. The Hedge Funds have robbed millions of shareholders who own AME and GME stocks by
The fact this is even being proposed with any legitimacy surmounting it is an absolute disgrace to the common folk of this country. It is easily understood that if we pass something like this, many other countries' governmental systems will follow which would be absolutely devastating to the low, middle and even high class members of any society. Disgusted would be the least I could say
To the FINRA Regulators,
One of the greatest developments in modern American history is the democratization of investing and the ensuing freedom for individual investors to save, invest, and trade freely on an open market. Inverse and leveraged funds allow retail investors to enhance their trading and investing strategies with straightforward and low cost options that are fully explained in the
I (the People) should be able to invest in what I want, NOT what you think. That;s just too much regulation (Micromanaging)
I am more than capable of understanding complex investments; if you want to fix ignorance; then we need to FIX OUR SCHOOL SYSTEM to teach our young valuable financial Life Skill.
I (the people) am capable of understanding what I don't know and research it. That is
I fully support Short Interest Position Reporting Enhancements, I am a 63 year old retail trader who has seen short selling abused over many years. I believe the enhancements plus additional regulations that will help stop the market manipluation using shorts and naked shorts is crucial to head off future financial disasters in the marketplace. Please pass these proposals and consider anything
The cat's out of the bag; retail investors now see and know that hedge funds and big business, in general, are taking advantage of the general public. Excessive and indefinite short-selling to drive stock prices down (and some companies out of business), as well as trading away from major exchanges that retail investors cannot interact with is destroying our faith in the system. The