SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On July 1, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Schedule H to the NASD By-Laws regarding quotation-size requirements for market makers in over-the-counter (OTC) equity securities. The rule change revises the minimum-size requirements applicable to market makers
Executive Summary
On September 6, 1995, the expanded Limit-Order Protection Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits member firms from trading ahead of customer limit orders (commonly known as Manning II) became fully effective. The expanded Interpretation extends the scope of limit-order protection in The Nasdaq Stock MarketSM to ensure that
FINRA Requests Comment on Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information
Net Capital
Liquidity Management
Credit Risk Management
Segregation of Assets and Customer Protection
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The units of delivery for certificates of deposit for bonds, shall be the same as prescribed for bonds in Rule 11362.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.Selected Notice: 10-49.
We all want fairness in the market. No more rules that protect big money from any culpability when taking advantage of access to market features that retail investors don’t have. Conflicts of interest such as market makers shorting stocks they hold the books for, t-2 settlement dates, 15 day short reports, and most importantly, darkpool order rerouting of retail investor buy orders must be
SSR doesn't work when market makers such as Citadel Securities can still mark a short exempt. Short exempt is supposed to be an exception but every time $amc is on SSR the counts of short exempts is extremely high. Citadel's hedge fund profits from their market maker's ability to short during SSR as do the options contracts held by Citadel Securities. This is an unfair competitive
I have watched the market manipulation since March on this stock. Putting on sell pressure by posting large sell orders and them disappear when they outcome is what they are wanting in the buys side. They are playing with our hard earned money and the playing field is skewed. Orders not being filled and platforms rejecting orders that match the same orders from short sellers. Enough is enough.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has decided to clarify its policy concerning the collection of fines and costs assessed in disciplinary cases. In brief, the NASD intends
